David Trinh Simpson
Professional Summary
David Trinh Simpson, who also goes by David Trinh Simpson Mr., is a registered financial advisor currently at SUMO CAPITAL, LLC located in Chicago, Illinois. David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 2 firms and has passed the Series 57TO, SIE, Series 44 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Trinh Simpson Mr.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
SUMO CAPITAL, LLC | SUMO TRADING LLC | SUMO TRADING
Contact Information
Main Address
425 S. Financial Place 15th Floor, Chicago, IL 60605Mailing Address
425 S. Financial Place 15th Floor, Chicago, IL 60605Phone Number
(312) 241-1622Established
Illinois since 01/10/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMO PARTNERS LLC | MEMBER OF SUMO CAPITAL, LLC | — |
| D'ANNA, WILLIAM ANTHONY | FINOP | 4744170 |
| D'ANNA, WILLIAM ANTHONY | PRINCIPAL FINANCIAL OFFICER | 4744170 |
| D'ANNA, WILLIAM ANTHONY | PRINCIPAL OPERATIONS OFFICER | 4744170 |
| GUTMAN, DANIEL | PRINCIPAL AND COO | 2903640 |
| THOMPSON, CHRISTINA | CHIEF COMPLIANCE OFFICER | 5720033 |
| TRAVIS, TERRENCE PATRICK | CONSULTANT - RISK MANAGER | 1545662 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 44 — PCX Market Maker Exam
Passed May 2007SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Trinh Simpson's CRS (Customer Relationship Summary).
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