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 and has passed the Series 65, Series 63, Series 6TO, Series 82TO, Series 52TO, Series 22TO, Series 99TO, Series 79TO, SIE, Series 7, Series 26, Series 28, Series 14, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sam Hicham Alaoui's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2021 - Present
9D CAPITAL LLC
Office #1: 244 5th Ave Ste 1211, New York, NY 10001June 28, 2021 - Present
5D PARTNERS LLC
Office #1: 535 Fifth Avenue 16th Floor, New York, NY 10017October 4, 2024 - October 7, 2024
DOMINARI SECURITIES LLC
April 29, 2019 - October 21, 2020
CRITO CAPITAL LLC
January 23, 2019 - February 25, 2019
CAPITAL TRUST AND ASSOCIATES LLC
August 16, 2018 - October 25, 2018
MAXWELLFORT INVESTMENTS, LP
January 6, 2017 - August 14, 2018
WYNSTON HILL CAPITAL, LLC
December 12, 2014 - May 20, 2015
EASTGATE SECURITIES, LLC
August 7, 2013 - October 29, 2018
CAPITAL TRUST AND ASSOCIATES LLC
August 31, 2011 - December 22, 2014
ROTHSCHILD LIEBERMAN LLC
August 20, 2007 - September 6, 2012
GRACE FINANCIAL GROUP LLC
January 30, 2004 - August 16, 2005
GUNNALLEN FINANCIAL, INC
September 1, 2003 - January 30, 2004
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/24/2022)
(8/18/2023)
(9/23/2021)
(8/18/2023)
Exams
Series 6TO
Date: 9/13/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 9/8/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 9/8/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 9/8/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 9/8/2023
Operations Professional ExaminationSeries 79TO
Date: 1/25/2020
Investment Banking Registered Representative ExaminationSeries 28
Date: 9/8/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
9D CAPITAL LLC
CRD#: 308524 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 9,642,601 |
Red Flags
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