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James Royce Sharp

Piper Sandler & Co.

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About James Royce Sharp

James Royce Sharp is a financial professional with over 25 years of experience in the industry. James is currently registered with Piper Sandler & Co. and is licensed in 11 states. James has held previous positions with SANTANDER US CAPITAL MARKETS LLC, AMHERST SECURITIES GROUP, L.P., SPIRES FINANCIAL, L.P., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. James holds a Series 7, Series 66, Series 79TO, and SIE license.

Firm Information

James Sharp 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 Sharp’s Registration & Firm History

TX

03/23/2023 - Present

Piper Sandler & Co. (AUSTIN TX)

TX

10/14/2014 - 03/24/2023

SANTANDER US CAPITAL MARKETS LLC (AUSTIN TX)

TX

03/27/2000 - 10/14/2014

AMHERST SECURITIES GROUP, L.P. (AUSTIN TX)

TX

08/04/1998 - 03/17/2000

SPIRES FINANCIAL, L.P. (HOUSTON TX)

NY

11/18/1997 - 06/23/1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/01/1997

Series 66 - Uniform Combined 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 11/17/1997

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 James Royce Sharp.
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