Brian J. Mahoney
Professional summary
Brian James Mahoney was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Brian had worked at 7 firms, which includes PIPER SANDLER & CO., DAIN RAUSCHER INCORPORATED, NOBLE SECURITIES CO., BROKERS' TRADING INC., MARGOLIS & CO. INC., THE MARSHALL COMPANY INC., BISHOP AND MAHONEY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1986 - April 10, 2001
PIPER SANDLER & CO.
December 31, 1979 - June 10, 1986
DAIN RAUSCHER INCORPORATED
February 17, 1978 - January 15, 1980
NOBLE SECURITIES CO.
February 15, 1977 - December 22, 1977
BROKERS' TRADING, INC.
September 17, 1973 - February 16, 1979
MARGOLIS & CO., INC.
February 18, 1972 - October 7, 1973
THE MARSHALL COMPANY, INC.
August 28, 1970 - March 18, 1972
BISHOP AND MAHONEY INCORPORATED
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/12/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 7/23/1956
Registered Representative ExaminationCurrent Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
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.
