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WD

William A. D'anna

SUMO CAPITAL
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 4744170
WD

Professional summary

William Anthony D'anna is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois and RAPID EXECUTION SERVICES, LLC located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 2004. William has worked at 5 firms and has passed the Series 99TO, Series 57TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Anthony D'anna's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 17, 2020 - Present

SUMO CAPITAL, LLC

Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605Office #2: 425 S Financial Place Suite 1525, Chicago, IL 60605
BD
CRD#: 146310
Chicago, IL
Current

January 3, 2022 - Present

RAPID EXECUTION SERVICES, LLC

Office #1: 440 S. Lasalle Street Suite 1525, Chicago, IL 60605
BD
CRD#: 171853
Chicago, IL
Past

February 3, 2012 - September 1, 2020

BELVEDERE TRADING LLC

BD
CRD#: 132605
CHICAGO, IL
Past

March 22, 2004 - March 4, 2010

TD OPTIONS LLC

BD
CRD#: 119855
CHICAGO, IL
Past

March 18, 2004 - March 4, 2010

TD PROFESSIONAL EXECUTION, INC.

BD
CRD#: 37554
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 2/15/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/18/2017
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/8/2004
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

RE
RAPID EXECUTION SERVICES, LLC
RAPID EXECUTION SERVICES, LLC

CRD#: 171853 / SEC#: , 8-69485

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
440 S. Lasalle Street Suite 1525, Chicago, IL 60605
Mailing Address
440 S. Lasalle Street Suite 1525, Chicago, IL 60605
Phone number
(312) 241-1622
Established
Illinois since 05/19/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SUMO HOLDINGS LLCMANAGER
D'ANNA, WILLIAM ANTHONYFINOP AND PRINCIPAL4744170
ROWAN, KATHLEEN ANNECCO3180771

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.

Company Information

RAPID EXECUTION SERVICES, LLC

CRD#: 171853Chicago, IL 60605

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