Glenn H. Smith
Professional summary
Glenn Hepburn Smith, who also goes by Glenn Hepburn Smith Mr., is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.
Glenn is registered as a RR (Registered Representative) and started their career in finance in 2011. Glenn has worked at 2 firms and has passed the Series 57TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Glenn Hepburn Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2018 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605July 15, 2011 - May 31, 2018
GLENN SMITH TRADING 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
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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