Ali Saadatnezhadi
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.
Ali Saadatnezhadi was a registered financial professional .
Ali is a previously registered financial professional and started their career in finance in 2003. Ali had worked at 9 firms and has passed the Series 66, SIE, Series 57 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2019 - November 12, 2021
SUMO CAPITAL, LLC
October 17, 2017 - December 18, 2017
WALLEYE TRADING LLC
December 8, 2016 - September 19, 2017
LUPO SECURITIES, LLC
September 6, 2016 - December 8, 2016
LUPO SECURITIES, LLC
January 4, 2016 - July 20, 2016
CUTLER GROUP, LLC
November 16, 2015 - December 21, 2015
X-CHANGE FINANCIAL ACCESS, LLC
March 4, 2015 - September 25, 2015
BLUEFIN CAPITAL MANAGEMENT, LLC
April 8, 2013 - October 18, 2013
CUTLER GROUP, LLC
August 20, 2012 - February 27, 2013
G-BAR LIMITED PARTNERSHIP
November 17, 2009 - July 25, 2012
VTRADER PRO, LLC
November 7, 2003 - April 27, 2007
CLARKSDALE CAPITAL, LLC
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
