Stephen J. Mazepa

SUMO CAPITAL

Chicago, IL 60605

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CRD#: 4814188

Professional summary

Stephen Joseph Mazepa, who also goes by Steve Mazepa, 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 2004. Stephen has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 31, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Mazepa

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 Stephen Joseph Mazepa'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

December 6, 2022 - Present

SUMO CAPITAL, LLC

Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605

CRD#: 146310

Chicago, IL

Past

August 1, 2012 - May 12, 2015

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

LOS ANGELES, CA

Past

June 25, 2010 - May 12, 2015

NEUBERGER BERMAN BD LLC

CRD#: 2908

LOS ANGELES, CA

Past

April 12, 2007 - June 29, 2010

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

LOS ANGELES, CA

Past

August 9, 2005 - January 4, 2007

GREAT POINT CAPITAL LLC

CRD#: 114203

CHICAGO, IL

Past

July 5, 2004 - August 5, 2005

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, 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

State Security Law Exam

IAR

Series 65

Date: 7/31/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 12/6/2022

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 11/23/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/28/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 55

Date: 8/19/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/2/2004

General Securities Representative Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq PHLX LLC

Current Firm

SUMO CAPITAL, LLC

SUMO CAPITAL, LLC | SUMO TRADING LLC | SUMO TRADING

CRD#: 146310 / SEC#: , 8-67809

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

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Contact information

Main Address

425 S. Financial Place 15th Floor, Chicago, IL 60605

Mailing Address

425 S. Financial Place 15th Floor, Chicago, IL 60605

Phone number

(312) 241-1622

Established

Illinois since 01/10/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

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

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.

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Advisor Monitoring

Firm Stability Insights

Stephen J. Mazepa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Joseph Mazepa's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

SANFORD C. BERNSTEIN & CO., LLC

GREAT POINT CAPITAL LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2012

Series 63

Date: 8/27/2004

Series 57TO

Date: 12/6/2022

SIE

Date: 11/23/2022

Series 31

Date: 9/28/2012

Series 55

Date: 8/19/2005

Series 7

Date: 7/2/2004

Cboe Exchange, Inc.

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq PHLX LLC

Current Firm

SUMO CAPITAL, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SUMO CAPITAL, LLC

TRUST BUT VERIFY

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