Philip J. Pliskin
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.
Philip Jeffrey Pliskin was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1988. Philip had worked at 13 firms and has passed the SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2020 - October 26, 2020
SUMO CAPITAL, LLC
June 12, 2019 - July 25, 2019
BUDO SECURITIES LLC
June 16, 2016 - August 13, 2018
CSSC BROKERAGE SERVICES, INC.
July 8, 2015 - January 8, 2016
CONSOLIDATED TRADING LLC
January 27, 2011 - September 30, 2014
ATLANTIC TRADING INDICES LLC
September 14, 2007 - February 1, 2008
JUST OPTIONS, LLC
September 14, 2007 - March 27, 2009
OPTIONSHOUSE1, LLC
April 13, 2007 - March 27, 2009
PEAK6 CAPITAL MANAGEMENT LLC
February 17, 2005 - March 21, 2007
SPOT TRADING L.L.C.
December 3, 2002 - January 4, 2005
TD OPTIONS LLC
October 6, 1997 - January 7, 2005
TD PROFESSIONAL EXECUTION, INC.
July 20, 1993 - February 12, 1997
PAX CLEARING COMPANY LIMITED PARTNERSHIP
October 30, 1990 - May 31, 1991
FIRST OPTIONS OF CHICAGO, INC.
February 23, 1988 - October 10, 1989
FIRST OPTIONS OF CHICAGO, 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
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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