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Malcolm Jennings Prochaska

CARITAS CAPITAL, LLC·CHARLOTTE, North Carolina
SIE, Series 3, Series 4, Series 7, Series 24, Series 52TO, Series 53, Series 55, Series 57TO, Series 63, Series 66, Series 87Clean recordCARITAS CAPITAL, LLC
5950 FAIRVIEW ROAD, CHARLOTTE, NC 28210CRD# 1715456Firm CRD# 149970

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Malcolm Jennings Prochaska · CHARLOTTE, NC
Registration
CRD #1715456 · CARITAS CAPITAL, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 3
Series 4
Series 7
Series 24
Series 52TO
Series 53
Series 55
Series 57TO
Series 63
Series 66
Series 87
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
CARITAS CAPITAL, LLC
CRD 149970 · SEC 801-70811
AUM
$7M
Regulatory assets under management
Employees
3
1 client accounts
Services offered by CARITAS CAPITAL, LLC
Per Form ADV
Portfolio management (pooled investments)
Client types served by the firm
Per Form ADV
Institutional Investors
View all advisors at CARITAS CAPITAL, LLC →
Introduction

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Frequently Asked Questions

What services does Malcolm Jennings Prochaska offer?
Malcolm Jennings Prochaska specializes in Investment Management, Fee-Only Advisory. Contact their office in CHARLOTTE, North Carolina for a consultation.
What are Malcolm Jennings Prochaska's credentials?
Malcolm Jennings Prochaska is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Malcolm Jennings Prochaska located?
Malcolm Jennings Prochaska is based in CHARLOTTE, North Carolina, working with CARITAS CAPITAL, LLC. Their office serves clients in the CHARLOTTE metropolitan area and surrounding communities.
How does Malcolm Jennings Prochaska charge for services?
Malcolm Jennings Prochaska's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CARITAS CAPITAL, LLC?
CARITAS CAPITAL, LLC has approximately 3 employees and manages $7M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Research
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