Karishma Lakhani

FROST INVESTMENT SERVICES

HOUSTON, TX 77056

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CRD#: 6098891

Professional summary

Karishma Lakhani, who also goes by Kari Lakhani, Karishma Karim Lakhani, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Houston, Texas.

Karishma is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Karishma has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kari Lakhani | Karishma Karim Lakhani

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) - RIA

Click below to view Karishma Lakhani's CRS (Customer Relationship Summary).

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 20, 2025 - Present

FROST INVESTMENT SERVICES

Office #1: 1 Blvd Place 1700 Post Oak Blvd Suite 120, Houston, TX 77056

RIA

CRD#: 286129

HOUSTON, TX

Past

September 18, 2019 - January 10, 2022

FISHER INVESTMENTS

RIA

CRD#: 107342

WOODSIDE, CA

Past

March 13, 2019 - August 29, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

SEATTLE, WA

Past

March 13, 2019 - August 29, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Seattle, WA

Past

March 13, 2019 - August 29, 2019

TD AMERITRADE, INC.

CRD#: 7870

SEATTLE, WA

Past

July 27, 2016 - July 6, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HOUSTON, TX

Past

July 15, 2016 - July 6, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOUSTON, TX

Past

February 2, 2015 - September 11, 2015

OPTIONSXPRESS, INC.

CRD#: 103849

AUSTIN, TX

Past

October 11, 2013 - January 15, 2015

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(3/20/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/26/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/11/2013

General Securities Representative Examination

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Firm Stability Insights

Karishma Lakhani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karishma Lakhani's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OPTIONSXPRESS, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2016

Series 63

Date: 10/25/2013

SIE

Date: 7/6/2018

Series 3

Date: 3/26/2015

Series 7

Date: 10/11/2013

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

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