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Mark L. Cukier

SUMO CAPITAL
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 5885255
MC

Professional summary

Mark L Cukier is a registered financial professional currently at SUMO CAPITAL, LLC located in Chicago, Illinois.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2011. Mark has worked at 8 firms and has passed the SIE, Series 56 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Mark L Cukier'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

April 18, 2022 - Present

SUMO CAPITAL, LLC

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

June 12, 2019 - July 25, 2019

BUDO SECURITIES LLC

BD
CRD#: 300556
CHICAGO, IL
Past

March 27, 2014 - January 28, 2017

SUMO CAPITAL, LLC

BD
CRD#: 146310
CHICAGO, IL
Past

October 21, 2013 - February 25, 2014

V. DERIVATIVES, LLC

BD
CRD#: 151893
CHICAGO, IL
Past

October 21, 2013 - February 25, 2014

MUSTANG TRADING, LLC

BD
CRD#: 131608
CHICAGO, IL
Past

October 21, 2013 - February 25, 2014

IMC SECURITIES LLC

BD
CRD#: 144874
CHICAGO, IL
Past

August 7, 2013 - February 28, 2014

TORO CAPITAL MANAGEMENT LLC

BD
CRD#: 145696
CHICAGO, IL
Past

July 13, 2012 - February 25, 2014

LUPO FUTURES, LLC

BD
CRD#: 155931
CHICAGO, IL
Past

April 20, 2011 - February 25, 2014

LUPO SECURITIES, LLC

BD
CRD#: 43761
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
SIE
Date: 1/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 12/7/2011
Proprietary Trader Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/23/2012
General Securities Principal 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

Current Firm

SC
SUMO CAPITAL, LLC
SUMO CAPITAL, LLC | SUMO TRADING LLC | SUMO TRADING

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

BD
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

NamePositionCRD#
SUMO PARTNERS LLCMEMBER OF SUMO CAPITAL, LLC
D'ANNA, WILLIAM ANTHONYPRINCIPAL OPERATIONS OFFICER4744170
D'ANNA, WILLIAM ANTHONYFINOP4744170
D'ANNA, WILLIAM ANTHONYPRINCIPAL FINANCIAL OFFICER4744170
GUTMAN, DANIELPRINCIPAL AND COO2903640
ROWAN, KATHLEEN ANNECCO3180771
TRAVIS, TERRENCE PATRICKCONSULTANT - RISK MANAGER1545662

Disclosures

Regulatory Event22

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SUMO CAPITAL, LLC

CRD#: 146310Chicago, IL 60605

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