Jason L. Rockland
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.
Jason Lyle Rockland was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2002. Jason had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 57, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2025 - January 21, 2026
SUMO CAPITAL, LLC
January 25, 2017 - March 8, 2019
BLUEFIN CAPITAL MANAGEMENT, LLC
July 21, 2005 - March 23, 2006
SIG SPECIALISTS, INC.
March 17, 2005 - March 28, 2006
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 5, 2003 - March 17, 2005
SIG BROKERAGE, LP
February 4, 2003 - March 28, 2003
SUSQUEHANNA FINANCIAL GROUP, LLLP
January 10, 2002 - March 28, 2003
SAL EQUITY TRADING, GP
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: 2/4/2025
Securities 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.
