Ajay Khanna
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.
Ajay Khanna was a registered financial professional .
Ajay is a previously registered financial professional and started their career in finance in 1997. Ajay had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 55, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2020 - September 22, 2023
SUMO CAPITAL, LLC
May 10, 2019 - October 3, 2019
BOFA SECURITIES, INC.
June 6, 2016 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2008 - January 23, 2009
CITIGROUP GLOBAL MARKETS INC.
July 28, 2005 - May 24, 2006
WELLS FARGO SECURITIES, LLC
May 13, 1997 - July 12, 2005
MORGAN STANLEY & CO. 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: 6/25/2020
Securities Trader ExamSeries 55
Date: 4/26/2000
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
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.
