Gus W. Boosalis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gus William Boosalis was a registered financial professional .
Gus is a previously registered financial professional and started their career in finance in 1984. Gus had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 56, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - February 2, 2017
SUMO CAPITAL, LLC
May 11, 2015 - August 5, 2015
SUMO CAPITAL, LLC
January 3, 2008 - January 30, 2013
BLUE FIRE CAPITAL, LLC
December 19, 1986 - January 5, 1988
KIMBRIDGE & CO., INC.
November 18, 1986 - December 15, 1986
ABBEY-ASHFORD SECURITIES, INC.
April 18, 1984 - December 20, 1986
ROBERT S. C. PETERSON, INC.
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
Series 56
Date: 4/27/2015
Proprietary Trader Qualification ExaminationCurrent 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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