Janice T. Rohr
Professional summary
Janice T Rohr, who also goes by Janice Therese Rohr, is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.
Janice is registered as a RR (Registered Representative) and started their career in finance in 2011. Janice has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Janice T Rohr's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2017 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605September 30, 2016 - November 30, 2016
EQUITABLE ADVISORS, LLC
September 14, 2016 - September 20, 2016
TRINITY EXECUTIONS, LLC
July 28, 2011 - October 6, 2014
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Cboe Exchange, Inc.
FINRA
Current Firm
SUMO CAPITAL, LLC
CRD#: 146310 / SEC#: , 8-67809
Contact information
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 | 22 |
Red Flags
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