Ann C. McCague

Ann McCague has served as Managing Director and Global Head of Compliance for Piper Sandler Companies since 2005, where she is responsible for regulatory compliance at all group affiliates, including Piper Sandler & Co., the U.S. broker/dealer and primary operating entity, two foreign broker/dealers and seven separate registered investment advisors.  Ann’s career path covers 37 years in the industry, including CCO positions at Dain Rauscher and Think Equity Partners, as well as prior senior compliance positions at national firms.  Given her broad scope of knowledge and seasoned expertise, she is a frequent conference panelist.  Ann is and has been a member of numerous FINRA and SIFMA committees.  Ann is a graduate of Augsburg College in Minneapolis, MN, where she earned a master’s degree in Leadership and an undergraduate degree in English Literature, with a Communications minor.