KJ
Kyle F. Javes
PIPER SANDLER & CO.
MINNEAPOLIS, MN 55401
Some features on this profile are disabled
CRD#: 4991392
KJ
Professional summary
Kyle Francis Javes is a registered financial advisor currently at PIPER SANDLER & CO. located in Minneapolis, Minnesota.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kyle has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7 and Series 53 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.
Name of Other Business: Catholic Charities Of The Archdiocese Of St Paul And Minneapolis Investment Related: Yes Address of Other Business: 1200 2nd Ave S, Minneapolis, MN Nature of Other Business: Catholic Charity Position: Board Member / Director Time devoted to the Business: 5 hours per Quarter Compensation: No, ; 0 percent of time commitment during trading hours; Start date of other business is 1/1/2025 Duties include: I have been asked to serve on the board of directors for this non-profit organization. I would like to accept the role effective on January 1, 2025.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle Francis Javes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kyle Francis Javes'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
May 9, 2019 - Present
PIPER SANDLER & CO.
Office #1: 350 North 5th Street Main Office, Minneapolis, MN 55401RIA
BD
CRD#: 665
MINNEAPOLIS, MN
Current
April 8, 2019 - Present
PIPER SANDLER & CO.
Office #1: 350 North 5th Street Main Office, Minneapolis, MN 55401RIA
BD
CRD#: 665
MINNEAPOLIS, MN
Past
February 14, 2017 - March 27, 2018
B. C. ZIEGLER AND COMPANY
RIA
CRD#: 61
CHICAGO, IL
Past
February 14, 2017 - March 21, 2019
B. C. ZIEGLER AND COMPANY
BD
CRD#: 61
CHICAGO, IL
Past
October 31, 2014 - February 8, 2017
COLLIERS SECURITIES LLC
RIA
CRD#: 7477
MINNEAPOLIS, MN
Past
October 31, 2014 - February 8, 2017
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
April 4, 2012 - December 31, 2013
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 145876
MINNEAPOLIS, MN
Past
June 15, 2011 - December 31, 2011
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 145876
MINNEAPOLIS, MN
Past
February 23, 2007 - November 3, 2014
PIPER SANDLER & CO.
BD
CRD#: 665
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
California(2/22/2022)
RR
Colorado(1/4/2022)
RR
Delaware(2/26/2025)
RR
Florida(5/24/2023)
RR
Idaho(9/13/2023)
RR
Illinois(3/31/2022)
RR
Indiana(11/16/2023)
RR
Michigan(4/19/2022)
RR
Minnesota(4/8/2019)
IAR
Minnesota(5/9/2019)
RR
Nevada(10/18/2022)
RR
New York(3/1/2022)
RR
Ohio(4/26/2022)
RR
Oregon(5/4/2023)
RR
Pennsylvania(10/31/2022)
RR
South Dakota(9/13/2023)
RR
Texas(1/4/2022)
RR
Virginia(9/13/2023)
RR
Washington(4/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 2/4/2019
Investment Banking Registered Representative ExaminationGeneral 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.
