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Karishma Lakhani

Frost Investment Services

Houston, TX

San Antonio, TX

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Current Employers
Frost Investment Services

111 West Houston Street, San Antonio, TX 78205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-20
  • TX RA
    APPROVED
    Since 2025-03-20

Branch Locations

1 Blvd Place 1700 Post Oak Blvd Suite 120, Houston, TX 77056 • United States

111 West Houston Street, San Antonio, TX 78205 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Unemployed Houston TX 07/2018 03/2019
Wells Fargo Advisors Houston TX 07/2016 07/2018
Td Ameritrade Seattle WA 03/2019 08/2019
Fisher Investments Woodside CA 09/2019 01/2022
Frost Investment Services Houston TX 03/2025 Present
Ubs New York NY 01/2022 05/2023
Unemployed San Francisco CA 05/2023 03/2025
Frost Brokerage Services Houston TX 03/2025 Present
  • 07/2018 → 03/2019
    Unemployed
    Houston, TX
  • 07/2016 → 07/2018
    Wells Fargo Advisors
    Houston, TX
  • 03/2019 → 08/2019
    Td Ameritrade
    Seattle, WA
  • 09/2019 → 01/2022
    Fisher Investments
    Woodside, CA
  • 03/2025 → Present
    Frost Investment Services
    Houston, TX
  • 01/2022 → 05/2023
    Ubs
    New York, NY
  • 05/2023 → 03/2025
    Unemployed
    San Francisco, CA
  • 03/2025 → Present
    Frost Brokerage Services
    Houston, TX
Previous Registrations
  • 2019-09-18 → 2022-01-10
    Fisher Investments
    Woodside, CA
    Plano, TX
  • 2019-03-13 → 2019-08-29
    Td Ameritrade, Inc.
    Seattle, WA
  • 2019-03-13 → 2019-08-29
    Td Ameritrade Investment Management, Llc
    Seattle, WA
  • 2016-07-27 → 2018-07-06
    Wells Fargo Clearing Services, Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Lake Jackson, TX
    Sugar Land, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-07-27
S63 Uniform Securities Agent State Law Examination 2013-10-25
  • S65 Uniform Investment Adviser Law Examination
    2016-07-27
  • S63 Uniform Securities Agent State Law Examination
    2013-10-25
Designations
Other Names
  • Karishma Karim Lakhani
  • Kari Lakhani

View on SEC IAPD

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MARINER INDEPENDENT

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WILLIAM THOMAS PAYNE
JON CARTER VAUGHAN
GREGORY JAMES KALLUS
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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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