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KB

Kevin K. Baker

SUMO CAPITAL
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 1249754
KB

Professional summary

Kevin Knox Baker, who also goes by Kevin Baker, is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 4 firms and has passed the Series 57TO, SIE, Series 56 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Baker

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 Kevin Knox Baker'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

March 1, 2016 - Present

SUMO CAPITAL, LLC

Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605
BD
CRD#: 146310
Chicago, IL
Past

September 12, 2012 - August 11, 2015

CASSANDRA TRADING GROUP, LLC

BD
CRD#: 117818
CHICAGO, IL
Past

April 19, 1984 - June 11, 1984

FRANCIS MANZO & COMPANY, INCORPORATED

BD
CRD#: 8187
Past

March 16, 1984 - June 13, 1984

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 11/6/2012
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 6
Date: 3/15/1984
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

SC
SUMO CAPITAL, LLC
SUMO CAPITAL, LLC | SUMO TRADING LLC | SUMO TRADING

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

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

NamePositionCRD#
SUMO PARTNERS LLCMEMBER OF SUMO CAPITAL, LLC
D'ANNA, WILLIAM ANTHONYPRINCIPAL OPERATIONS OFFICER4744170
D'ANNA, WILLIAM ANTHONYFINOP4744170
D'ANNA, WILLIAM ANTHONYPRINCIPAL FINANCIAL OFFICER4744170
GUTMAN, DANIELPRINCIPAL AND COO2903640
ROWAN, KATHLEEN ANNECCO3180771
TRAVIS, TERRENCE PATRICKCONSULTANT - RISK MANAGER1545662

Disclosures

Regulatory Event22

Red Flags

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

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Company Information

SUMO CAPITAL, LLC

CRD#: 146310Chicago, IL 60605

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