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Thomas Gregory O'Kane

Piper Sandler & Co.

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About Thomas Gregory O'Kane

Thomas Gregory O'Kane is a financial professional with over 30 years of experience in the industry. Thomas has held positions at UBS Financial Services Inc. and Piper Jaffray & Co. currently, Thomas works at Piper Sandler & Co., where they have been registered since March 2007. Thomas is a registered representative in the states of Minnesota, New York and Illinois. Thomas has passed a wide variety of industry exams, including Series 65, Series 63, Series 24, Series 57 and Series 7.

Firm Information

Thomas O'Kane 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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Thomas O'Kane’s Registration & Firm History

MN

03/30/2007 - Present

Piper Sandler & Co. (MINNEAPOLIS MN)

MN

08/12/2006 - 04/12/2007

UBS FINANCIAL SERVICES INC. (MINNEAPOLIS MN)

MN

01/27/1992 - 08/12/2006

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 11/04/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/30/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/21/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/29/2017

Series 57 - Securities Trader Exam

BC

Issued 01/23/1992

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 Thomas Gregory O'Kane.
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