PIPER SANDLER COMPANIES

Ticker: PIPR CUSIP: 724078100 Class: EQTY

Regal Investment Advisors LLC's Holding History (CIK: 0001559789)

Note: Option positions (PUT/CALL) are excluded.

Q3 2013
Shares 150 Value ($000) $5 Avg Close $33.69 Range $29.48 - $36.31