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Thomas Mark Lafleur

Piper Sandler & Co.

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About Thomas Mark Lafleur

Thomas Lafleur is a financial advisor with Piper Sandler & Co. and has over 28 years of experience in the financial services industry. Thomas is registered with both FINRA and the states of Illinois and Minnesota. Thomas offers advisory services, such as portfolio management for businesses, as well as analytical reports and public finance consulting program.

Firm Information

Thomas Lafleur 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 Lafleur’s Registration & Firm History

IL

08/05/2016 - Present

Piper Sandler & Co. (Chicago IL)

IL

03/30/1994 - 10/11/1999

JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)

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Licenses & Designations

BC

Issued 09/19/2011

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 04/07/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/2017

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 03/29/1994

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 Mark Lafleur.
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