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Dennis James McGuire

Piper Sandler & Co.

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About Dennis James McGuire

Dennis McGuire is an investment advisor representative with Piper Sandler & Co. Dennis is a registered representative with the Financial Industry Regulatory Authority (FINRA), having passed the Series 7, Series 52, Series 53, and Series 63 exams. Dennis began his career in 1997 at Piper Jaffray Inc., and has been with Piper Sandler & Co. since 2001. Dennis's experience includes providing analytical reports and public finance consulting program.

Firm Information

Dennis McGuire is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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analytical reports/public finance consulting program

Analytical reports/public finance consulting program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Dennis McGuire’s Registration & Firm History

CA

08/01/2001 - Present

Piper Sandler & Co. (SACRAMENTO CA)

MN

03/31/1997 - 09/17/1999

PIPER JAFFRAY INC. (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 08/11/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/03/2008

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/27/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Dennis James McGuire.
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