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John B Phillips

Piper Sandler & Co.

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About John B Phillips

John B Phillips is a financial professional with over 4 years of experience in the industry. John is currently registered with Piper Sandler & Co., where they have been employed since September 28, 2020. Prior to that, John worked at Oppenheimer & Co. Inc., Freeman & Co. Securities LLC and Cambridge International Partners LLC. John is registered in New York and holds the Series 63, SIE, and Series 79 licenses. John specializes in Portfolio Management for Businesses.

Firm Information

John Phillips 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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John Phillips’s Registration & Firm History

NY

09/28/2020 - Present

Piper Sandler & Co. (NEW YORK NY)

NY

02/05/2019 - 09/25/2020

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

10/30/2017 - 01/28/2019

FREEMAN & CO. SECURITIES LLC (NEW YORK NY)

NY

06/20/2016 - 10/24/2017

CAMBRIDGE INTERNATIONAL PARTNERS LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/29/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/20/2016

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John B Phillips.
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