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Vincent Lee Phillips

Piper Sandler & Co.

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About Vincent Lee Phillips

Vincent Lee Phillips is a financial professional with over 6 years of experience in the industry. Vincent has a strong background in securities and investment banking, having passed Series 7, SIE, Series 79TO and Series 99TO exams. Vincent is currently registered as a financial professional in Minnesota with Piper Sandler & Co., a firm with over 1,300 registered representatives. Vincent previously worked at Wells Fargo Securities, LLC.

Firm Information

Vincent Phillips 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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Vincent Phillips’s Registration & Firm History

MN

06/04/2021 - Present

Piper Sandler & Co. (MINNEAPOLIS MN)

MN

06/15/2018 - 10/19/2020

PIPER SANDLER & CO. (MINNEAPOLIS MN)

MN

11/02/2016 - 05/10/2018

WELLS FARGO SECURITIES, LLC (MINNEAPOLIS MN)

MN

07/14/2016 - 10/21/2016

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 08/15/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 09/26/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/14/2016

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 Vincent Lee Phillips.
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