Kenneth A. Dolan
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.
Kenneth A Dolan, who also goes by Kenneth Andrew Dolan, Kenneth Dolan, Dolan Andrew Kenneth Andrew, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1993. Kenneth had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2025 - July 3, 2025
SUMO CAPITAL, LLC
January 3, 2022 - May 9, 2022
ELEQUIN SECURITIES LLC
January 4, 2019 - April 30, 2020
GTS SECURITIES LLC
January 17, 2017 - October 22, 2018
OLD MISSION CAPITAL, LLC
June 14, 2011 - October 25, 2016
JEFFERIES LLC
December 12, 2003 - June 3, 2011
TD ARRANGED SERVICES LLC
November 3, 1999 - June 27, 2002
DEUTSCHE IXE, LLC
July 30, 1994 - August 29, 1999
CREDIT SUISSE SECURITIES (USA) LLC
May 17, 1993 - May 19, 1994
LEHMAN BROTHERS 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 57TO
Date: 1/7/2025
Securities Trader ExamSeries 55
Date: 12/20/1999
Limited Representative-Equity Trader ExamCurrent 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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