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Derek James Robertson

Piper Sandler & Co.

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About Derek James Robertson

Derek James Robertson is a financial advisor with Piper Sandler & Co. based in Boston, MA. Derek has over 13 years of experience in the financial services industry. Derek has held positions at various firms, including FORDHAM FINANCIAL MANAGEMENT, INC., JOSEPH GUNNAR & CO. LLC, AEGIS CAPITAL CORP., RODMAN & RENSHAW, LLC, and FINANCIAL NETWORK INVESTMENT CORPORATION. Derek is a registered representative and investment advisor representative.

Firm Information

Derek Robertson 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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Derek Robertson’s Registration & Firm History

MA

09/04/2018 - Present

Piper Sandler & Co. (Boston MA)

NY

04/20/2018 - 08/17/2018

FORDHAM FINANCIAL MANAGEMENT, INC. (New York NY)

NY

09/10/2015 - 04/19/2018

JOSEPH GUNNAR & CO. LLC (UNIONDALE NY)

NY

09/12/2011 - 10/06/2015

AEGIS CAPITAL CORP. (NEW YORK NY)

NY

08/03/2011 - 09/13/2011

RODMAN & RENSHAW, LLC (NEW YORK NY)

NY

06/02/2010 - 02/03/2011

FINANCIAL NETWORK INVESTMENT CORPORATION (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/14/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/04/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/01/2010

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 3 public disclosures for Derek James Robertson. Review regulatory record here.
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