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Thomas Lee Ashcraft

Piper Sandler & Co.

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About Thomas Lee Ashcraft

Thomas Lee Ashcraft is a financial advisor with Piper Sandler & Co., based in Charlotte, NC. Thomas has over 25 years of experience in the financial services industry and is registered with the Financial Industry Regulatory Authority (FINRA) as a registered representative. Thomas holds the Series 7 and Series 63 licenses. Before joining Piper Sandler & Co. Thomas worked at Scott & Stringfellow, LLC, Banc of America Securities LLC, State Street Capital Markets, LLC, Wachovia Securities, Inc., and Greenwich Partners, Inc.

Firm Information

Thomas Ashcraft 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 Ashcraft’s Registration & Firm History

NC

03/28/2011 - Present

Piper Sandler & Co. (CHARLOTTE NC)

NC

11/25/2002 - 04/11/2011

SCOTT & STRINGFELLOW, LLC (CHARLOTTE NC)

NY

04/29/2002 - 11/18/2002

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

MA

12/12/2000 - 03/01/2002

STATE STREET CAPITAL MARKETS, LLC (BOSTON MA)

NC

07/16/1996 - 10/31/2000

WACHOVIA SECURITIES, INC. (CHARLOTTE NC)

CT

03/02/1995 - 07/08/1996

GREENWICH PARTNERS, INC. (STAMFORD CT)

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Licenses & Designations

BC

Issued 08/09/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/01/1995

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 Lee Ashcraft.
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