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Thomas Raikes Thompson

Piper Sandler & Co.

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About Thomas Raikes Thompson

Thomas Raikes Thompson is a registered representative with Piper Sandler & Co., a firm registered with FINRA and the SEC. Thomas has Series 63, Series 79TO, and SIE licenses, and has been active in the industry since July 2024. Thomas is located in Charlotte, NC and can be reached at the firm's Charlotte office located at 201 SOUTH COLLEGE ST., SUITE 2400, CHARLOTTE, NC 28244.

Firm Information

Thomas Thompson 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 Thompson’s Registration & Firm History

NC

07/03/2024 - Present

Piper Sandler & Co. (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 03/04/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/03/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 05/04/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Raikes Thompson.
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