JS
Jonathan Searles
PIPER SANDLER & CO.
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5675806
JS
Professional summary
Jonathan Searles, who also goes by Jonathan R Searles, is a registered financial advisor currently at PIPER SANDLER & CO. located in New York, New York.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Jonathan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan R Searles
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: Huntington Country Club; Investment Related: No; Address of Other Business: 483 Main St Huntington, NY 11743; Nature of Other Business: Private Country Club. On board of directors; Position: Board Member / Director; Time devoted to the Business: 4 hour(s) per Month; Compensation: No; 0 percent of time commitment during trading hours; Start date of other business is Sep 01, 2015; Duties Include: Board Member / Director Name of Other Business: B&G Industries, Ltd. Investment Related: No Address of Other Business: 7100 New Horizons Blvd, Amityville, NY Nature of Other Business: B&G Industries has been in business since 1976 and wholly owns B&G Electrical Contractors of NY, Loss Prevention & Control (LPC), Pathways Systems and Design (PSD). Together B&G,LPC & PSD provide installation services ranging from Electrical, Low Voltage, IT Integration, Security & Fire Alarm systems. Position: Board Member / Director Time devoted to the Business: 6 hours per Year Compensation: Yes, Compensation to be at $5,000.00 per meeting. Assume two meetings per year, so $10,000.00 in total compensation. This would be a yearly commitment for 2023, with the first meeting in late April.; 0 percent of time commitment during trading hours; Start date of other business is 5/1/2023 Duties include: Serve on the company's board of directors.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Searles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Searles'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
October 4, 2021 - Present
PIPER SANDLER & CO.
Office #1: 1251 Avenue Of The Americas 6th Floor, New York, NY, 10020Office #3: 324 S. Service Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 665
NEW YORK, NY
Current
October 4, 2021 - Present
PIPER SANDLER & CO.
Office #1: 1251 Avenue Of The Americas 6th Floor, New York, NY, 10020Office #2: 324 S. Service Road Suite 206, Melville, NY 11747RIA
BD
CRD#: 665
NEW YORK, NY
Past
March 22, 2019 - October 1, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
HAUPPAUGE, NY
Past
March 15, 2019 - October 1, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
HAUPPAUGE, NY
Past
February 23, 2010 - January 10, 2019
FIRST EMPIRE ASSET MANAGEMENT, INC
RIA
CRD#: 134411
HAUPPAUGE, NY
Past
July 7, 2009 - March 15, 2019
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, 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.
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
Arizona(2/3/2022)
RR
California(6/8/2022)
RR
Colorado(1/4/2024)
RR
Connecticut(1/4/2024)
RR
Florida(1/4/2024)
RR
Georgia(4/8/2022)
RR
Idaho(11/7/2023)
RR
Illinois(2/1/2022)
RR
Indiana(6/21/2023)
RR
Iowa(3/9/2022)
RR
Louisiana(3/25/2025)
RR
Maine(2/25/2022)
RR
Maryland(10/13/2021)
RR
Massachusetts(1/4/2024)
RR
Michigan(1/4/2024)
RR
Minnesota(10/14/2021)
RR
Missouri(9/26/2022)
RR
Montana(3/24/2022)
RR
Nevada(1/4/2024)
RR
New Jersey(3/9/2022)
RR
New Mexico(11/5/2021)
IAR
New York(10/4/2021)
RR
New York(10/13/2021)
RR
North Carolina(1/4/2024)
RR
Ohio(1/6/2023)
RR
Oklahoma(1/4/2024)
RR
Pennsylvania(9/12/2022)
RR
South Carolina(1/4/2024)
RR
Tennessee(1/4/2024)
RR
Texas(10/11/2021)
RR
Virginia(1/4/2024)
RR
Washington(1/4/2024)
Exams
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)
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.
