David J. Barclay
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.
David Joseph Barclay was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 11 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 7, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2020 - February 17, 2022
SUMO CAPITAL, LLC
January 2, 2014 - November 6, 2017
SPHINX TRADING, LP
July 18, 2013 - January 2, 2015
EQUITEC TRADING, LLC
January 2, 2013 - November 3, 2017
RQD* CLEARING, LLC
November 3, 2011 - December 27, 2017
EQUITEC PROPRIETARY MARKETS, LLC
November 7, 2007 - November 9, 2012
EQUITEC SPECIALISTS, LLC
December 16, 2002 - November 12, 2007
CASTLEWOOD SECURITIES, L.L.C.
September 30, 1999 - January 31, 2001
ESTREET SECURITIES, INC.
August 10, 1995 - October 16, 1998
FIRST OPTIONS OF CHICAGO, INC.
August 2, 1993 - September 30, 1998
LIT CLEARING SERVICES, INC.
February 18, 1992 - August 2, 1993
LIT AMERICA, 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 7TO
Date: 3/12/2024
General Securities Representative ExaminationSeries 57TO
Date: 3/12/2024
Securities Trader ExamSeries 8
Date: 11/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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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