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Sam Irvani

WAVELAND CAPITAL PARTNERS LLC
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 4298335
SI

Professional summary

Sam Irvani is a registered financial professional currently at WAVELAND CAPITAL PARTNERS LLC located in Irvine, California and AMERICAN ALTERNATIVE CAPITAL, LLC located in Ann Arbor, Michigan.

Sam is registered as a RR (Registered Representative) and started their career in finance in 2001. Sam has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 27 and Series 28 exams.

top-8-questions

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 Sam Irvani'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

March 15, 2010 - Present

WAVELAND CAPITAL PARTNERS LLC

Office #1: 19800 Macarthur Blvd Suite 650, Irvine, CA 92612
BD
CRD#: 40054
Irvine, CA
Current

September 8, 2021 - Present

AMERICAN ALTERNATIVE CAPITAL, LLC

Office #1: 3909 Research Park Drive Suite 250, Ann Arbor, MI 48108
BD
CRD#: 309956
Ann Arbor, MI
Past

February 25, 2010 - March 11, 2010

STRATEGIC TRANSITION SECURITIES, LLC

BD
CRD#: 146952
NEWPORT BEACH, CA
Past

December 19, 2005 - June 9, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LAGUNA HILLS, CA
Past

January 22, 2001 - January 18, 2006

CITIGROUP GENEVA CAPITAL STRATEGIES INC.

BD
CRD#: 104454
LAGUNA HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/22/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/1/2013
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 6/27/2013
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AA
AMERICAN ALTERNATIVE CAPITAL, LLC
AMERICAN ALTERNATIVE CAPITAL, LLC | LINK ALTS CAPITAL, LLC

CRD#: 309956 / SEC#: , 8-70651

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

Main Address
3909 Research Park Drive Suite 250, Ann Arbor, MI 48108
Mailing Address
3909 Research Park Drive Suite 250, Ann Arbor, MI 48108
Phone number
(248) 428-8002
Established
Colorado since 07/06/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CARPE DIEM I, LLCMEMBER
CONCORDE INVESTMENT PARTNERS, LLCOWNER/MANAGING MEMBER
DELUNA, LORI MARIECHIEF COMPLIANCE OFFICER5087442
KAMMEYER, JOSHUA JAMESPRINCIPAL OPERATIONS OFFICER5745175
KAVANAUGH, JASON PATRICKPRESIDENT, DESIGNATED PRINCIPAL2693303

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

AMERICAN ALTERNATIVE CAPITAL, LLC

CRD#: 309956Irvine, CA 92612

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