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KM

Kara L. Malcom

Some features on this profile are disabled
CRD#: 4157676
KM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kara Lynn Malcom, who also goes by Kara Lynn Halle, Kara Lynne Howard, Kara Lynn Howard, Kara Howard, Kara Lynn Malcom, was a registered financial professional .

Kara is a previously registered financial professional and started their career in finance in 2000. Kara had worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kara Lynn Halle | Kara Lynne Howard | Kara Lynn Howard | Kara Howard | Kara Lynn Malcom

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 30, 2023 - January 30, 2026

EXCHANGERIGHT SECURITIES, LLC

BD
CRD#: 283430
PASADENA, CA
Past

October 13, 2021 - November 1, 2023

STRATCAP SECURITIES, LLC

BD
CRD#: 151152
NEW YORK, NY
Past

December 15, 2020 - December 23, 2021

EMERSON EQUITY LLC

RIA
CRD#: 130032
Plano, TX
Past

June 14, 2018 - December 23, 2021

EMERSON EQUITY LLC

BD
CRD#: 130032
Plano, TX
Past

June 6, 2017 - May 24, 2018

ASCENDANT ALTERNATIVE STRATEGIES, LLC

BD
CRD#: 283881
Austin, TX
Past

March 31, 2016 - January 5, 2017

S2K FINANCIAL LLC

BD
CRD#: 248786
ORLANDO, FL
Past

November 3, 2009 - December 2, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
DALLAS, TX
Past

April 3, 2009 - September 21, 2009

SELECT CAPITAL CORPORATION

BD
CRD#: 145997
PHOENIX, AZ
Past

March 4, 2008 - January 21, 2009

LIGHTSTONE SECURITIES, LLC

BD
CRD#: 132596
MAHWAH, NJ
Past

November 4, 2004 - March 10, 2008

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

March 9, 2001 - September 28, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SCOTTSDALE, AZ
Past

May 10, 2000 - September 28, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/21/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/23/2000
Uniform Securities Agent State Law 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 31
Date: 11/24/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/9/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/4/2016
General Securities Principal Examination

Current Firm

ES
EXCHANGERIGHT SECURITIES, LLC
EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430 / SEC#: , 8-69753

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

Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Phone number
(626) 564-1031
Established
California since 01/06/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EXCHANGERIGHT HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER, MANAGING MEMBER5327906
THOMAS, WARREN JESSE MCEWINPRESIDENT, MANAGING MEMBER2299254
THORNTON, STEVEN LEEFINOP4496384
UNGERECHT, JOSHUA PAULCEO, MANAGING MEMBER5183573

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

EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430

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