MP
Michael A. Putnam
PIPER SANDLER & CO.
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2138297
MP
Professional summary
Michael Anthony Putnam, who also goes by Mike Putnam, is a registered financial professional currently at PIPER SANDLER & CO. located in San Francisco, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Putnam
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Anthony Putnam's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2018 - Present
PIPER SANDLER & CO.
Office #1: 50 California St 31st Floor, San Francisco, CA 94111RIA
BD
CRD#: 665
San Francisco, CA
Past
August 4, 2011 - January 18, 2018
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
Past
June 20, 2006 - July 14, 2011
WEEDEN & CO.L.P.
BD
CRD#: 16835
GREENBRAE, CA
Past
April 28, 2003 - June 9, 2006
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
LOS ANGELES, CA
Past
February 5, 2002 - March 27, 2003
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
May 1, 2001 - September 20, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
February 5, 2001 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
August 14, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
February 18, 2000 - August 15, 2000
W.R. HAMBRECHT + CO., LLC
BD
CRD#: 45040
SAN FRANCISCO, CA
Past
March 15, 1995 - December 20, 1999
VOLPE BROWN WHELAN & COMPANY, LLC
BD
CRD#: 18329
SAN FRANCISCO, CA
Past
September 23, 1993 - March 1, 1995
HAMBRECHT & QUIST LLC
BD
CRD#: 940
SAN FRANCISCO, CA
Past
July 22, 1991 - May 15, 1992
WINTHROP SECURITIES CO., INC.
BD
CRD#: 6925
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/3/2019)
RR
California(1/19/2018)
RR
Colorado(1/19/2018)
RR
Connecticut(8/6/2019)
RR
Florida(1/3/2019)
RR
Maryland(6/2/2023)
RR
Massachusetts(1/3/2019)
RR
Minnesota(1/2/2020)
RR
Missouri(12/4/2024)
RR
New Jersey(1/3/2019)
RR
New Mexico(1/19/2018)
RR
New York(1/19/2018)
RR
North Carolina(9/21/2021)
RR
Oregon(1/19/2018)
RR
Puerto Rico(10/22/2024)
RR
Texas(1/3/2019)
RR
Washington(1/19/2018)
RR
Wisconsin(10/11/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/31/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Mailing Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Phone number
(612) 303-6000
Established
Delaware since 07/28/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,370
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
