Sam Hicham Alaoui
Professional Summary
Sam Hicham Alaoui, who also goes by Sam Aaziz, Hicham Alaoui, Sam Alaoui, Hicham Sam Aziz Alaoui, Hicham Aziz Alaoui, is a registered financial advisor currently at 9D CAPITAL LLC located in New York, New York and 5D PARTNERS LLC located in New York, New York. Sam Hicham is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sam Hicham has worked at 12 firms...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sam Aaziz, Hicham Alaoui, Sam Alaoui, Hicham Sam Aziz Alaoui, Hicham Aziz Alaoui
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
9D CAPITAL | THE BANK OF SPORTS | THE BANK OF ARTS | 9D CAPITAL LLC
Contact Information
Main Address
244 5th Ave Ste 1211, New York, NY 10001Phone Number
(212) 729-3498# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
9AUM (Assets Under Management)
$10,617,492Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/24/2022)
(8/18/2023)
(9/23/2021)
(8/18/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2023About the Series 6TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Sep 2023About the Series 82TO examSeries 52TO — Municipal Securities Representative Examination
Passed Sep 2023About the Series 52TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Sep 2023About the Series 22TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2020About the Series 79TO examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 2023About the Series 26 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Sep 2023About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Sam Hicham Alaoui's CRS (Customer Relationship Summary).
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