RS
Richard G. Steiner
PIPER SANDLER & CO.
Atlanta, GA 30326
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CRD#: 2339276
RS
Professional summary
Richard Gregg Steiner, who also goes by Richard Steiner, is a registered financial professional currently at PIPER SANDLER & CO. located in Atlanta, Georgia.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Steiner
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 Richard Gregg Steiner'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
February 15, 2024 - Present
PIPER SANDLER & CO.
Office #1: 3424 Peachtree Road, N.e. Suite 2050, Atlanta, GA 30326RIA
BD
CRD#: 665
Atlanta, GA
Past
July 22, 2009 - February 29, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ATLANTA, GA
Past
October 12, 2006 - February 5, 2009
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
July 1, 2004 - October 3, 2006
VIRTU ITG LLC
BD
CRD#: 29299
NEW YORK, NY
Past
July 25, 2002 - June 17, 2004
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
August 21, 1996 - July 17, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
April 13, 1993 - March 7, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
April 13, 1993 - March 7, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
Connecticut(2/20/2024)
RR
Georgia(2/15/2024)
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: 9/28/1998
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.
