CH
Caroline G. Hauser
KKR CAPITAL MARKETS LLC
New York, NY 10001
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CRD#: 7568292
CH
Professional summary
Caroline Grace Hauser is a registered financial professional currently at KKR CAPITAL MARKETS LLC located in New York, New York.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 2024. Caroline has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Caroline Grace Hauser's 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®
NoneExperience
Current
September 3, 2024 - Present
KKR CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001BD
CRD#: 143571
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/30/2024)
RR
Alaska(9/30/2024)
RR
Arizona(9/30/2024)
RR
Arkansas(9/30/2024)
RR
California(9/30/2024)
RR
Colorado(9/3/2024)
RR
Connecticut(9/30/2024)
RR
Delaware(9/30/2024)
RR
District of Columbia(9/3/2024)
RR
Florida(9/3/2024)
RR
Georgia(9/30/2024)
RR
Hawaii(9/30/2024)
RR
Idaho(9/30/2024)
RR
Illinois(9/30/2024)
RR
Indiana(9/30/2024)
RR
Iowa(9/30/2024)
RR
Kansas(9/30/2024)
RR
Kentucky(9/30/2024)
RR
Louisiana(9/3/2024)
RR
Maine(9/30/2024)
RR
Maryland(9/3/2024)
RR
Massachusetts(9/30/2024)
RR
Michigan(9/30/2024)
RR
Minnesota(9/30/2024)
RR
Mississippi(9/30/2024)
RR
Missouri(9/30/2024)
RR
Montana(9/30/2024)
RR
Nebraska(9/30/2024)
RR
Nevada(9/30/2024)
RR
New Hampshire(9/30/2024)
RR
New Jersey(9/30/2024)
RR
New Mexico(9/30/2024)
RR
New York(9/30/2024)
RR
North Carolina(9/30/2024)
RR
North Dakota(9/30/2024)
RR
Ohio(10/1/2024)
RR
Oklahoma(9/30/2024)
RR
Oregon(9/30/2024)
RR
Pennsylvania(9/30/2024)
RR
Puerto Rico(9/3/2024)
RR
Rhode Island(9/30/2024)
RR
South Carolina(9/30/2024)
RR
South Dakota(9/30/2024)
RR
Tennessee(9/30/2024)
RR
Texas(9/30/2024)
RR
Utah(9/30/2024)
RR
Vermont(9/30/2024)
RR
Virgin Islands(9/30/2024)
RR
Virginia(9/30/2024)
RR
Washington(9/30/2024)
RR
West Virginia(9/30/2024)
RR
Wisconsin(9/30/2024)
RR
Wyoming(9/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 8/30/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KC
KKR CAPITAL MARKETS LLC
KKR CAPITAL MARKETS LLC | KKR GLOBAL MARKETS LLC
CRD#: 143571 / SEC#: , 8-67578
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
30 Hudson Yards, New York, NY 10001
Mailing Address
30 Hudson Yards, New York, NY 10001
Phone number
(212) 750-8300
Established
Delaware since 01/29/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KKR CAPITAL MARKETS HOLDINGS L.P. | SOLE MEMBER | |
| KNOX, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINANCIAL/ OPERATIONS PRINCIPAL | 2605046 |
| KNOX, JOHN JOSEPH | PRINCIPAL OPERATING OFFICER | 2605046 |
| MOGELOF, ERIC JAY | HEAD OF CLIENT PARTNER GROUP | 4558632 |
| SCHWARTZ, JEFFREY I. | CHIEF COMPLIANCE OFFICER | 4961301 |
| SMITH, ADAM | CHIEF EXECUTIVE OFFICER | 5748435 |
| THOMPSON, WILLIAM CADE | CHIEF OPERATING OFFICER | 4566364 |
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.
