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Kimberly Joy Harris

Piper Sandler & Co.

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About Kimberly Joy Harris

Kimberly Harris is a financial advisor with over 20 years of experience in the industry. Kimberly is currently registered with Piper Sandler & Co. and holds a Series 7, Series 31, and Series 63 licenses, in addition to the SIE exam. Kimberly has previously worked with a variety of firms including Phillips & Company, RBC Capital Markets, LLC, Morgan Stanley & Co. Incorporated, Seattle-Northwest Securities Corporation, Ferris, Baker Watts Incorporated, and Legg Mason Wood Walker, Incorporated. Kimberly is registered to provide investment advice in 52 states.

Firm Information

Kimberly Harris 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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Kimberly Harris’s Registration & Firm History

MN

02/24/2014 - Present

Piper Sandler & Co. (MINNEAPOLIS MN)

OR

01/08/2013 - 02/25/2014

PHILLIPS & COMPANY (PORTLAND OR)

OR

05/04/2009 - 11/08/2012

RBC CAPITAL MARKETS, LLC (PORTLAND OR)

OR

05/02/2008 - 05/01/2009

MORGAN STANLEY & CO. INCORPORATED (PORTLAND OR)

OR

07/18/2006 - 07/26/2007

SEATTLE-NORTHWEST SECURITIES CORPORATION (PORTLAND OR)

MD

06/16/2001 - 06/22/2006

FERRIS, BAKER WATTS INCORPORATED (BALTIMORE MD)

MD

03/08/2000 - 06/07/2001

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

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Licenses & Designations

IA

Issued 08/01/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/15/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/01/2008

Series 31 - Futures Managed Funds Examination

BC

Issued 03/07/2000

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 Kimberly Joy Harris.
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