Joann R. Hinnenthal
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joann Ruth Hinnenthal, who also goes by Joann Ruth Krueger, Joanne Ruth Krueger, was a registered financial professional .
Joann is a previously registered financial professional and started their career in finance in 1986. Joann had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2017 - December 31, 2019
PIPER SANDLER & CO.
April 4, 2012 - August 5, 2016
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
September 16, 2008 - December 31, 2011
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
August 14, 2001 - December 31, 2019
PIPER SANDLER & CO.
January 4, 1993 - April 15, 2003
U.S. BANCORP INVESTMENTS, INC.
June 10, 1991 - January 4, 1993
MARQUETTE FINANCIAL SERVICES, INC.
March 18, 1991 - June 3, 1991
SECURIAN FINANCIAL SERVICES, INC.
May 30, 1989 - September 14, 1989
CETERA INVESTMENT SERVICES LLC
September 15, 1987 - April 26, 1988
TRANSAMERICA FUND DISTRIBUTORS, INC.
August 29, 1986 - June 26, 1987
MARQUETTE FINANCIAL SERVICES, INC.
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
Current 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.
