Adam B. Balter
Professional summary
Adam Benjamin Balter, who also goes by Adam Balter, is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2010. Adam has worked at 3 firms and has passed the Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Benjamin Balter's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 29, 2024 - Present
SUMO CAPITAL, LLC
Office #1: 425 S. Financial Place 15th Floor, Chicago, IL 60605December 22, 2017 - November 22, 2022
HAP TRADING, LLC
January 27, 2010 - March 31, 2016
BLUEFIN CAPITAL MANAGEMENT, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
NYSE American LLC
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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