Michael D. Lockwood

SUMO CAPITAL

Chicago, IL 60605

Some features on this profile are disabled

CRD#: 1195162

Professional summary

Michael David Lockwood is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 9 firms and has passed the Series 65, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael David Lockwood's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 8, 2015 - Present

SUMO CAPITAL, LLC

Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605

CRD#: 146310

Chicago, IL

Past

December 16, 2013 - June 26, 2015

CASSANDRA TRADING GROUP, LLC

CRD#: 117818

CHICAGO, IL

Past

May 20, 2013 - August 12, 2013

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Past

November 12, 2007 - January 8, 2008

OPUS TRADING FUND LLC

CRD#: 125204

JERICHO, NY

Past

November 14, 2006 - April 1, 2010

LOCK CAPITAL MANAGEMENT LLC

RIA

CRD#: 139157

RIDGEFIELD, CT

Past

October 31, 1995 - November 23, 2005

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

RIDGEFIELD, CT

Past

September 14, 1988 - February 27, 1996

S.G. WARBURG & CO. INC.

CRD#: 1483

NEW YORK, NY

Past

November 25, 1983 - October 3, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 19, 1983 - June 4, 1984

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/13/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/26/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/6/1989

General Securities Principal Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

Current Firm

SUMO CAPITAL, LLC

SUMO CAPITAL, LLC | SUMO TRADING LLC | SUMO TRADING

CRD#: 146310 / SEC#: , 8-67809

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

425 S. Financial Place 15th Floor, Chicago, IL 60605

Mailing Address

425 S. Financial Place 15th Floor, Chicago, IL 60605

Phone number

(312) 241-1622

Established

Illinois since 01/10/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SUMO PARTNERS LLC	MEMBER OF SUMO CAPITAL, LLC
D'ANNA, WILLIAM ANTHONY	PRINCIPAL OPERATIONS OFFICER	4744170
D'ANNA, WILLIAM ANTHONY	FINOP	4744170
D'ANNA, WILLIAM ANTHONY	PRINCIPAL FINANCIAL OFFICER	4744170
GUTMAN, DANIEL	PRINCIPAL AND COO	2903640
ROWAN, KATHLEEN ANNE	CCO	3180771
TRAVIS, TERRENCE PATRICK	CONSULTANT - RISK MANAGER	1545662

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael D. Lockwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael David Lockwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASSANDRA TRADING GROUP, LLC

G-2 TRADING,LLC

OPUS TRADING FUND LLC

LOCK CAPITAL MANAGEMENT LLC

ELECTRONIC TRADING GROUP, LLC

S.G. WARBURG & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2006

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/26/2000

Series 7

Date: 10/15/1983

Series 24

Date: 7/6/1989

Cboe Exchange, Inc.

FINRA

Nasdaq PHLX LLC

Current Firm

SUMO CAPITAL, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SUMO CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors