SJ
Stephen L. Joseph
PIPER SANDLER & CO.
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 262307
SJ
Professional summary
Stephen Lee Joseph, who also goes by Steve Joseph, is a registered financial professional currently at PIPER SANDLER & CO. located in Greenwich, Connecticut.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1971. Stephen has worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 41, Series 000, Series 1, Series 24 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Joseph
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 Stephen Lee Joseph'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 3, 2020 - Present
PIPER SANDLER & CO.
Office #1: 1 Greenwich Plaza Suite 111, Greenwich, CT 06830RIA
BD
CRD#: 665
Greenwich, CT
Past
January 18, 1994 - January 3, 2020
SANDLER, O'NEILL & PARTNERS, L.P.
BD
CRD#: 23328
NEW YORK, NY
Past
April 2, 1992 - January 11, 1994
EWING CAPITAL, INC.
BD
CRD#: 10841
WASHINGTON, DC
Past
August 27, 1984 - March 20, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
August 14, 1972 - January 9, 1984
SALOMON BROTHERS INC.
BD
CRD#: 740
Past
August 18, 1971 - September 18, 1971
REYNOLDS SECURITIES, INC.
BD
CRD#: 712
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(1/3/2024)
RR
Arizona(1/3/2020)
RR
California(1/3/2020)
RR
Colorado(1/3/2020)
RR
Connecticut(1/3/2020)
RR
Delaware(1/3/2020)
RR
Florida(1/3/2020)
RR
Georgia(1/3/2024)
RR
Idaho(8/29/2024)
RR
Illinois(1/3/2020)
RR
Indiana(1/3/2024)
RR
Kansas(1/3/2024)
RR
Maryland(1/3/2020)
RR
Massachusetts(1/3/2020)
RR
Michigan(1/3/2024)
RR
Minnesota(1/3/2020)
RR
Missouri(1/3/2024)
RR
Nebraska(2/5/2025)
RR
Nevada(1/3/2024)
RR
New Jersey(1/3/2020)
RR
New Mexico(2/11/2020)
RR
New York(1/3/2020)
RR
North Carolina(1/3/2020)
RR
Ohio(1/3/2024)
RR
Oklahoma(2/11/2020)
RR
Oregon(1/3/2024)
RR
Pennsylvania(1/3/2020)
RR
South Carolina(1/3/2024)
RR
Texas(1/3/2020)
RR
Virginia(1/3/2020)
RR
Washington(1/3/2024)
RR
Wisconsin(1/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 41
Date: 4/16/1983
NYSE Allied Member ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 8/16/1971
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 8/16/1971
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 12/12/1977
Registered Principal ExaminationSRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
