Ulric W. Taylor
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.
Ulric Walter Taylor was a registered financial professional .
Ulric is a previously registered financial professional and started their career in finance in 2003. Ulric had worked at 3 firms and has passed the SIE, Series 57TO, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2024 - October 17, 2024
SUMO CAPITAL, LLC
January 10, 2006 - April 9, 2008
ROSENTHAL GLOBAL SECURITIES LLC
January 23, 2003 - March 1, 2004
GELBER SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 8/2/2024
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
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