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Lawrence E. Spieldenner

SUMO CAPITAL
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 5505240
LS

Professional summary

Lawrence Edmund Spieldenner JR., who also goes by Larry Edmund Spieldenner, is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois and BOLT-X LLC located in Chicago, Illinois.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 2010. Lawrence has worked at 2 firms and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Edmund Spieldenner

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 Lawrence Edmund Spieldenner JR.'s CRS (Customer Relationship Summary).
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

March 16, 2010 - Present

SUMO CAPITAL, LLC

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

October 21, 2022 - Present

BOLT-X LLC

Office #1: 440 South Lasalle Suite 1525, Chicago, IL 60603
BD
CRD#: 140802
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 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials 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
SRO Registrations
RR
New York Stock Exchange

Current Firm

BL
BOLT-X LLC
BOLT-X LLC | RONIN PROFESSIONAL LLC | DART EXECUTIONS, LLC

CRD#: 140802 / SEC#: , 8-67342

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

Main Address
440 South Lasalle Suite 1525, Chicago, IL 60603
Mailing Address
440 South Lasalle Suite 1525, Chicago, IL 60605
Phone number
(312) 241-1622
Established
Delaware since 04/26/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SUMO HOLDINGS LLCMANAGER
BENNETT, PATRICIA MCENROEFINOP, PRINCIPAL FINANCIALOFFICER, PRINCIPAL OPERATIONS OFFICER2623308
GUTMAN, DANIELCEO2903640
ROWAN, KATHLEEN ANNECCO3180771
TRAVIS, TERRENCE PATRICKCHIEF RISK OFFICER1545662

Disclosures

Regulatory Event3

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

BOLT-X LLC

CRD#: 140802Chicago, IL 60605

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