Arthur J. Holly
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.
Arthur J Holly, who also goes by Arthue Joseph Holly, Arthur Joseph Holly, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2001. Arthur had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2023 - November 3, 2023
SUMO CAPITAL, LLC
November 27, 2012 - November 7, 2013
MAN INVESTMENTS INC.
May 9, 2006 - August 17, 2006
OPUS TRADING FUND LLC
December 4, 2002 - August 28, 2003
STG SECURE TRADING GROUP, INC.
March 6, 2002 - May 10, 2002
WORLDCO, L.L.C.
October 3, 2001 - December 10, 2001
WORLDCO, L.L.C.
July 24, 2001 - October 2, 2001
SCHONFELD SECURITIES, 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: 2/21/2023
Securities Trader ExamSeries 55
Date: 8/3/2001
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.
