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James Gordon Dorweiler

Piper Sandler & Co.

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About James Gordon Dorweiler

James Gordon Dorweiler is a financial advisor at Piper Sandler & Co. James has over 15 years of experience in the financial industry. James has been registered with Piper Sandler & Co. since 2014. James holds Series 7, Series 63, SIE and Series 79TO licenses. James has previously worked at GREEN MANNING & BUNCH, LTD. and BMO CAPITAL MARKETS CORP. James is a Minnesota Registered Investment Advisor.

Firm Information

James Dorweiler 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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James Dorweiler’s Registration & Firm History

MN

09/22/2014 - Present

Piper Sandler & Co. (MINNEAPOLIS MN)

CO

04/04/2011 - 09/08/2014

GREEN MANNING & BUNCH, LTD. (DENVER CO)

IL

09/12/2007 - 07/08/2010

BMO CAPITAL MARKETS CORP. (CHICAGO IL)

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Licenses & Designations

BC

Issued 09/25/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/2007

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 James Gordon Dorweiler.
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