PK
Paul M. Kelley
PIPER SANDLER & CO.
MINNEAPOLIS, MN 55401
Some features on this profile are disabled
CRD#: 4796280
PK
Professional summary
Paul Mcmahon Kelley is a registered financial advisor currently at PIPER SANDLER & CO. located in Minneapolis, Minnesota.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Paul has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) - RIA
Click below to view Paul Mcmahon Kelley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Mcmahon Kelley'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
August 5, 2016 - Present
PIPER SANDLER & CO.
Office #1: 350 North 5th Street Main Office, Minneapolis, MN 55401RIA
BD
CRD#: 665
MINNEAPOLIS, MN
Current
February 3, 2006 - Present
PIPER SANDLER & CO.
Office #1: 350 North 5th Street Main Office, Minneapolis, MN 55401RIA
BD
CRD#: 665
MINNEAPOLIS, MN
Past
April 4, 2012 - August 5, 2016
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 145876
SAN FRANCISCO, CA
Past
March 3, 2009 - April 5, 2012
FIDUCIARY ASSET MANAGEMENT LLC
RIA
CRD#: 107171
PORTLAND, OR
Past
September 24, 2008 - February 17, 2011
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 145876
MINNEAPOLIS, MN
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/3/2025)
RR
Alaska(1/3/2011)
RR
California(7/29/2009)
RR
Colorado(8/11/2017)
RR
Connecticut(1/2/2020)
RR
Florida(5/3/2018)
RR
Illinois(5/3/2018)
RR
Indiana(5/3/2018)
RR
Kentucky(7/10/2024)
RR
Maine(10/4/2011)
RR
Massachusetts(10/7/2014)
RR
Michigan(5/3/2018)
RR
Minnesota(5/15/2007)
IAR
Minnesota(8/5/2016)
RR
Missouri(8/11/2017)
RR
Montana(5/3/2018)
RR
Nebraska(1/3/2025)
RR
Nevada(7/23/2010)
RR
New Hampshire(5/7/2025)
RR
New Jersey(5/3/2018)
RR
New York(5/3/2018)
RR
North Carolina(5/4/2018)
RR
Ohio(5/3/2018)
RR
Oklahoma(3/7/2025)
RR
Oregon(8/2/2010)
RR
Pennsylvania(5/3/2018)
RR
Rhode Island(11/6/2017)
RR
South Carolina(1/3/2024)
RR
South Dakota(5/3/2018)
RR
Tennessee(3/1/2019)
RR
Virginia(5/3/2018)
RR
Washington(7/23/2010)
RR
West Virginia(1/3/2025)
RR
Wisconsin(5/26/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
