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JL

John P. Larocque

Some features on this profile are disabled
CRD#: 2373487
JL

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.

John Paul Larocque was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2003. John had worked at 8 firms and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 17, 2019 - January 19, 2021

SUMO CAPITAL, LLC

BD
CRD#: 146310
CHICAGO, IL
Past

April 27, 2011 - January 2, 2015

EQUITEC TRADING, LLC

BD
CRD#: 120636
CHICAGO, IL
Past

April 27, 2011 - November 6, 2017

SPHINX TRADING, LP

BD
CRD#: 33019
CHICAGO, IL
Past

April 27, 2011 - December 26, 2017

EQUITEC PROPRIETARY MARKETS, LLC

BD
CRD#: 113728
CHICAGO, IL
Past

March 8, 2007 - October 14, 2010

COMPASS PROFESSIONAL SERVICES EAST, LLC

BD
CRD#: 141724
CHICAGO, IL
Past

January 3, 2007 - July 26, 2007

EQUITEC NEW YORK, LLC

BD
CRD#: 141729
CHICAGO, IL
Past

July 1, 2005 - November 3, 2017

RQD* CLEARING, LLC

BD
CRD#: 134284
NEW YORK, NY
Past

October 21, 2003 - September 10, 2007

EQUITEC SPECIALISTS, LLC

BD
CRD#: 103917
CHICAGO, IL
Past

October 21, 2003 - October 19, 2007

EQUITEC PROPRIETARY MARKETS, LLC

BD
CRD#: 113728
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 12/26/2017
Securities Industry Essentials Examination

Current Firm

SC
SUMO CAPITAL, LLC
SUMO CAPITAL, LLC | SUMO TRADING LLC | SUMO TRADING

CRD#: 146310 / SEC#: , 8-67809

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place 15th Floor, Chicago, IL 60605
Mailing Address
425 S. Financial Place 15th Floor, Chicago, IL 60605
Phone number
(312) 241-1622
Established
Illinois since 01/10/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SUMO PARTNERS LLCMEMBER OF SUMO CAPITAL, LLC
D'ANNA, WILLIAM ANTHONYPRINCIPAL OPERATIONS OFFICER4744170
D'ANNA, WILLIAM ANTHONYFINOP4744170
D'ANNA, WILLIAM ANTHONYPRINCIPAL FINANCIAL OFFICER4744170
GUTMAN, DANIELPRINCIPAL AND COO2903640
ROWAN, KATHLEEN ANNECCO3180771
TRAVIS, TERRENCE PATRICKCONSULTANT - RISK MANAGER1545662

Disclosures

Regulatory Event22

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.

Company Information

SUMO CAPITAL, LLC

CRD#: 146310

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