Mark E. Westcott
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.
Mark Edward Westcott was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 56, Series 7, Series 3, 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
November 11, 2013 - February 5, 2015
SUMO CAPITAL, LLC
November 1, 2011 - October 10, 2013
TRINITY EXECUTIONS, LLC
September 17, 2008 - February 5, 2015
MNR EXECUTIONS, LLC
December 18, 2007 - November 1, 2013
DRO-WST TRADING, LLC
August 26, 1985 - April 26, 1988
MORGAN STANLEY DW INC.
November 21, 1984 - July 22, 1985
ALLIED GROUP SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 7/13/2011
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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