Timothy T. Honzel
Professional summary
Timothy Thomas Honzel is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 4 firms and has passed the Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Thomas Honzel's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2015 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605May 16, 2006 - August 31, 2015
CASSANDRA TRADING GROUP, LLC
April 21, 2006 - May 11, 2006
EQUISTAR TRADING, LLC
September 25, 2002 - March 1, 2006
CASSANDRA TRADING GROUP, LLC
October 29, 2001 - February 26, 2002
DASH PRIME 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
NYSE Arca, Inc.
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.
