Michael L. Ashley
Professional summary
Michael Lawrence Ashley is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 5 firms and has passed the Series 44 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Lawrence Ashley's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2024 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605May 31, 2018 - May 29, 2024
XR SECURITIES LLC
December 31, 2008 - June 1, 2018
INTEGRAL DERIVATIVES, LLC
January 25, 2007 - January 13, 2009
AGS SPECIALISTS II, LLC
September 26, 2003 - February 7, 2007
AGS SPECIALISTS 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 44
Date: 8/12/2009
PCX Market Maker ExamNYSE American 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 | 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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