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Douglas Benton Sumick

Btig, LLC

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About Douglas Benton Sumick

Douglas Benton Sumick is a financial advisor currently registered with Btig, LLC in Miami, Florida. Douglas has been in the industry since August 20, 2006 and holds the Series 3, 7, 79, and SIE licenses. He is registered in 52 states, including Florida, California, New York, and Texas. Before joining Btig, LLC, Douglas held positions at Mizuho Securities USA Inc., TD Securities (USA) LLC, Morgan Stanley Market Products Inc., and Morgan Stanley & Co., Incorporated.

Firm Information

Douglas Sumick is currently registered with Btig, LLC. Btig, LLC is a Limited Liability Company formed in 2002. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm also holds an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

154

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Douglas Sumick’s Registration & Firm History

FL

06/02/2014 - Present

Btig, LLC (Miami FL)

NY

07/19/2011 - 04/30/2013

MIZUHO SECURITIES USA INC. (NEW YORK NY)

NY

09/02/2009 - 04/12/2011

TD SECURITIES (USA) LLC (NEW YORK NY)

NY

11/12/2003 - 07/17/2007

MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)

NY

02/27/2003 - 07/17/2007

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/22/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2017

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 07/01/2014

Series 3 - National Commodity Futures Examination

BC

Issued 09/01/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Douglas Benton Sumick.
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