SR
Stefanie M. Roberts
PIPER SANDLER & CO.
Tualatin, OR
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CRD#: 6643365
SR
Stefanie M RobertsPIPER SANDLER & CO.
Professional summary
Stefanie M Roberts is a registered financial advisor currently at PIPER SANDLER & CO. located in Tualatin, Oregon.
Stefanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Stefanie has worked at 1 firm and has passed the Series 66, Series 63, SIE and Series 7 exams.
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: Trillium Creek PTA Investment Related: No Address of Other Business: , West Linn, OR Nature of Other Business: PTA Position: Board Member / Director Time devoted to the Business: 2 hours per Month Compensation: No, ; 50 percent of time commitment during trading hours; Start date of other business is 5/14/2025 Duties include: PTA Treasure Name of Other Business: Robeach, LLC. Investment Related: Address of Other Business: , Portland, OR Nature of Other Business: real estate Position: Owner Time devoted to the Business: 25 hours per Year Compensation: Yes, Rental Income; 0 percent of time commitment during trading hours; Start date of other business is 11/5/2024 Duties include: Real Estate Name of Other Business: Rental Property Investment Related: Address of Other Business: 5233 N Ameherst St, Portland, OR Nature of Other Business: Private/Rental Property Position: Owner Time devoted to the Business: 5 hours per Year Compensation: Yes, Rental payments; 0 percent of time commitment during trading hours; Start date of other business is 6/1/2022 Duties include: Rental property Name of Other Business: Platoro Investments Investment Related: Address of Other Business: PO Box 90608, Albuquerque, NM Nature of Other Business: Commercial Rental Properties Position: Owner Time devoted to the Business: 2 hours per Year Compensation: Yes, Paid quarterly from lease payments; 0 percent of time commitment during trading hours; Start date of other business is 1/15/2020 Duties include: Commercial Property in Albuquerque, New Mexico. I'm a 20% owner of the LLC. Partnership EIN# 84-3940324 Name of Other Business: Rental Property Investment Related: Address of Other Business: 5233 N Ameherst St, Portland, OR Nature of Other Business: Rental Properties Position: Owner Time devoted to the Business: 10 hours per Year Compensation: Yes, Rental payments; 0 percent of time commitment during trading hours; Start date of other business is 9/14/2018 Duties include: My husband and I (personally) own 4 single family rental properties in Portland. We started renting the 1st one in September 2018.
CRS (Client Relationship Summary) - RIA
Click below to view Stefanie M Roberts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stefanie M Roberts'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
December 1, 2025 - Present
PIPER SANDLER & CO.
Office #2: 1300 Sw Fifth Ave. Suite 3650, Portland, OR 97201RIA
BD
CRD#: 665
Tualatin, OR
Current
August 14, 2017 - Present
PIPER SANDLER & CO.
Office #1: 1300 Sw Fifth Ave. Suite 3650, Portland, OR 97201RIA
BD
CRD#: 665
PORTLAND, OR
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(9/6/2024)
RR
Alaska(11/8/2018)
RR
Arizona(1/4/2019)
RR
California(11/8/2018)
RR
Colorado(7/3/2018)
RR
Florida(10/7/2024)
RR
Hawaii(11/8/2018)
RR
Idaho(1/25/2018)
RR
Indiana(6/18/2026)
RR
Iowa(6/18/2026)
RR
Kansas(6/30/2025)
RR
Louisiana(6/2/2020)
RR
Maryland(7/9/2026)
RR
Michigan(1/4/2019)
RR
Minnesota(1/4/2019)
RR
Missouri(2/23/2026)
RR
Montana(1/4/2019)
RR
Nevada(1/4/2019)
RR
New Mexico(5/14/2018)
RR
New York(7/9/2024)
RR
Ohio(5/26/2026)
RR
Oregon(10/23/2017)
IAR
Oregon(12/1/2025)
RR
South Carolina(6/18/2026)
RR
Texas(1/4/2019)
RR
Utah(3/5/2026)
RR
Washington(11/22/2017)
RR
Wisconsin(11/15/2017)
Exams
What does exam status mean?
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
SRO Registrations
RR
Texas Stock Exchange LLC
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
1,402
SEC notice filing (10 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; PRINCIPAL FINANCIAL OFFICER; 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 |
| QUANT, SHAWN CHRISTIAN | PRINCIPAL OPERATIONS OFFICER | 2786518 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,284,404,458 |
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.
