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Thomas Keen

Piper Sandler & Co.

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About Thomas Keen

Thomas Keen is a registered representative with Piper Sandler & Co., with over 6 years of experience in the financial services industry. He is a Series 7, Series 57, Series 63, Series 86 and Series 87 licensed professional. Thomas has previously been registered with CORNERSTONE MACRO LLC. Thomas currently works in the New York office of Piper Sandler & Co.

Firm Information

Thomas Keen 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 Keen’s Registration & Firm History

NY

02/09/2022 - Present

Piper Sandler & Co. (NEW YORK NY)

NY

08/25/2016 - 02/16/2022

CORNERSTONE MACRO LLC (New York NY)

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Licenses & Designations

BC

Issued 09/07/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/25/2017

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 06/12/2017

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 12/21/2016

Series 57 - Securities Trader Exam

BC

Issued 08/25/2016

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 Keen.
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