Justin K. Valdez
Professional summary
Justin K Valdez is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.
Justin is registered as a RR (Registered Representative) and started their career in finance in 2008. Justin has worked at 2 firms and has passed the Series 63, SIE, Series 57 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Justin K Valdez's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2017 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605February 21, 2008 - March 7, 2016
CTC, 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
Cboe Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq PHLX 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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