Stephen M. Haller
Professional summary
Stephen Maxwell Haller, who also goes by Stephen M Haller, is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Maxwell Haller's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2024 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605July 14, 2020 - May 1, 2024
CUTLER GROUP, LLC
September 4, 2018 - March 17, 2020
MARATHON TRADING GROUP LLC
December 11, 2014 - October 21, 2015
MARATHON TRADING GROUP LLC
July 12, 2012 - October 31, 2014
NOMURA SECURITIES INTERNATIONAL, INC.
August 25, 2008 - September 24, 2009
FIRST NEW YORK SECURITIES L.L.C.
November 15, 2006 - August 14, 2008
J.P. MORGAN SECURITIES LLC
July 21, 2005 - November 28, 2005
SIG SPECIALISTS, INC.
October 22, 2003 - October 26, 2006
SUSQUEHANNA SECURITIES, LLC
September 26, 2003 - October 26, 2006
SUSQUEHANNA INVESTMENT GROUP
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: 3/11/2019
Securities Trader ExamSeries 55
Date: 9/21/2012
Limited Representative-Equity Trader ExamCboe Exchange, Inc.
FINRA
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 | 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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