Kathleen A. Rowan
Professional summary
Kathleen Anne Rowan is a registered financial professional currently at BOLT-X LLC located in Chicago, Illinois and RAPID EXECUTION SERVICES, LLC located in Chicago, Illinois.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1999. Kathleen has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 30, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Anne Rowan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2007 - Present
BOLT-X LLC
Office #1: 440 South Lasalle Suite 1525, Chicago, IL 60603Office #2: 440 South Lasalle Suite 1525, Chicago, IL 60605September 3, 2024 - Present
RAPID EXECUTION SERVICES, LLC
Office #1: 440 S. Lasalle Street Suite 1525, Chicago, IL 60605Office #2: 440 S. Lasalle Street 1525, Chicago, IL 60605September 3, 2024 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605January 3, 2022 - February 14, 2024
RAPID EXECUTION SERVICES, LLC
May 7, 1999 - June 15, 2007
TD PROFESSIONAL EXECUTION, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/13/2008)
(4/4/2012)
Exams
What does exam status mean?
Series 57TO
Passed: 1/2/2023
Securities Trader ExamSeries 99TO
Passed: 1/2/2023
Operations Professional ExaminationCboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq PHLX LLC
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 | FINOP | 4744170 |
| D'ANNA, WILLIAM ANTHONY | PRINCIPAL FINANCIAL OFFICER | 4744170 |
| D'ANNA, WILLIAM ANTHONY | PRINCIPAL OPERATIONS OFFICER | 4744170 |
| GUTMAN, DANIEL | PRINCIPAL AND COO | 2903640 |
| THOMPSON, CHRISTINA | CHIEF COMPLIANCE OFFICER | 5720033 |
| TRAVIS, TERRENCE PATRICK | CONSULTANT - RISK MANAGER | 1545662 |
Disclosures
| Regulatory Event | 22 |
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Company Information
SUMO CAPITAL, LLC
CRD#: 146310Chicago, IL 60603TRUST BUT VERIFY
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