DS
Douglas B. Sumick
BTIG
Miami, FL 33139
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CRD#: 2875619
DS
Professional summary
Douglas Benton Sumick is a registered financial professional currently at BTIG, LLC located in Miami, Florida.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2003. Douglas has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 3 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Benton Sumick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 2, 2014 - Present
BTIG, LLC
Office #1: 2340 Collins Ave Suite 401, Miami, FL 33139BD
CRD#: 122225
Miami, FL
Past
July 19, 2011 - April 30, 2013
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
September 2, 2009 - April 12, 2011
TD SECURITIES (USA) LLC
BD
CRD#: 18476
NEW YORK, NY
Past
November 12, 2003 - July 17, 2007
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
NEW YORK, NY
Past
February 27, 2003 - July 17, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/26/2018)
RR
Alaska(1/26/2018)
RR
Arizona(1/26/2018)
RR
Arkansas(1/26/2018)
RR
California(6/2/2014)
RR
Colorado(1/26/2018)
RR
Connecticut(6/2/2014)
RR
Delaware(1/26/2018)
RR
District of Columbia(1/26/2018)
RR
Florida(1/26/2018)
RR
Georgia(6/2/2014)
RR
Hawaii(1/26/2018)
RR
Idaho(1/26/2018)
RR
Illinois(1/26/2018)
RR
Indiana(1/26/2018)
RR
Iowa(1/26/2018)
RR
Kansas(1/26/2018)
RR
Kentucky(1/26/2018)
RR
Louisiana(1/26/2018)
RR
Maine(1/26/2018)
RR
Maryland(1/26/2018)
RR
Massachusetts(6/2/2014)
RR
Michigan(1/26/2018)
RR
Minnesota(1/26/2018)
RR
Mississippi(1/26/2018)
RR
Missouri(1/26/2018)
RR
Montana(1/26/2018)
RR
Nebraska(1/26/2018)
RR
Nevada(1/26/2018)
RR
New Hampshire(1/26/2018)
RR
New Jersey(6/2/2014)
RR
New Mexico(1/26/2018)
RR
New York(6/2/2014)
RR
North Carolina(1/28/2018)
RR
North Dakota(1/26/2018)
RR
Ohio(1/26/2018)
RR
Oklahoma(1/26/2018)
RR
Oregon(1/26/2018)
RR
Pennsylvania(1/26/2018)
RR
Rhode Island(1/26/2018)
RR
South Carolina(1/26/2018)
RR
South Dakota(1/26/2018)
RR
Tennessee(5/23/2018)
RR
Texas(6/2/2014)
RR
Utah(1/26/2018)
RR
Vermont(1/26/2018)
RR
Virgin Islands(1/26/2018)
RR
Virginia(1/26/2018)
RR
Washington(1/26/2018)
RR
West Virginia(1/26/2018)
RR
Wisconsin(1/26/2018)
RR
Wyoming(1/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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
BTIG, LLC
CRD#: 122225Miami, FL 33139TRUST BUT VERIFY
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