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Omar Farouk Zaman

Loop Capital Markets LLC

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About Omar Farouk Zaman

Omar Zaman is a securities professional with over 20 years of experience in the financial industry. Omar is currently registered with Loop Capital Markets LLC as a registered representative. Omar has previously worked with SMBC Nikko Securities Canada, LTD., SMBC Nikko Securities America, INC., SunTrust Robinson Humphrey, INC., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Banc of America Securities LLC. Omar holds several licenses, including Series 7, Series 24, Series 52TO, Series 79TO, and Series 63.

Firm Information

Omar Zaman is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

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.

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transition management services/equity research services

Transition management services/equity research services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Omar Zaman’s Registration & Firm History

NY

08/01/2022 - Present

Loop Capital Markets LLC (NEW YORK NY)

NY

10/02/2019 - 04/04/2022

SMBC NIKKO SECURITIES CANADA, LTD. (NEW YORK NY)

NY

12/17/2013 - 04/04/2022

SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)

GA

10/04/2006 - 07/29/2013

SUNTRUST ROBINSON HUMPHREY, INC. (ATLANTA GA)

NY

04/28/2004 - 05/13/2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

01/17/2001 - 04/05/2004

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/17/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/21/2016

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/16/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Omar Farouk Zaman.
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