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SC

Scott Chen

Some features on this profile are disabled
CRD#: 2500034
SC

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.

Scott Chen, who also goes by Scott David Chen, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2005. Scott had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott David Chen

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

October 7, 2014 - August 5, 2015

SUMO CAPITAL, LLC

BD
CRD#: 146310
CHICAGO, IL
Past

February 22, 2013 - April 22, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SAN FRANCISCO, CA
Past

November 8, 2005 - January 16, 2007

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 3/15/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 6/22/2006
Limited Representative-Equity Trader Exam

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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