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Max Daniel Kaftal

Piper Sandler & Co.

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About Max Daniel Kaftal

Max Daniel Kaftal is a registered representative with Piper Sandler & Co., a firm with over 1,300 registered representatives. Max is active in the New York area and has been in the industry since 2010. Max has passed the Series 63, Series 62, Series 79 and SIE exams. Max has previously worked with Sandler, O'Neill & Partners, L.P. and is currently working with Piper Sandler & Co. in New York.

Firm Information

Max Kaftal 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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Max Kaftal’s Registration & Firm History

NY

01/03/2020 - Present

Piper Sandler & Co. (NEW YORK NY)

NY

01/09/2015 - 01/03/2020

SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)

NY

09/21/2010 - 05/07/2013

SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/18/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/30/2015

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 09/20/2010

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Max Daniel Kaftal.
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