Franklyn H. Ashby
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.
Franklyn Henry Ashby III, who also goes by Frank Ashby, Franklyn Henry Ashby III, Franklyn Henry Ashby, was a registered financial professional .
Franklyn is a previously registered financial professional and started their career in finance in 1985. Franklyn had worked at 11 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2020 - July 22, 2021
COMERICA SECURITIES
January 3, 2020 - July 22, 2021
COMERICA SECURITIES
April 25, 2018 - May 15, 2019
RIVERFRONT INVESTMENT GROUP, LLC
April 6, 2018 - May 15, 2019
ALPS DISTRIBUTORS, INC.
June 1, 2017 - August 22, 2017
VP DISTRIBUTORS LLC
October 4, 2016 - June 1, 2017
VIRTUS CAPITAL ADVISERS, LLC
September 28, 2016 - June 1, 2017
FORESIDE ASSOCIATES, LLC
June 14, 2005 - September 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 14, 2005 - September 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2001 - October 30, 2003
LEGG MASON WOOD WALKER, INCORPORATED
February 21, 2001 - October 30, 2003
LEGG MASON WOOD WALKER, INCORPORATED
February 8, 2001 - April 4, 2001
CAPITOL SECURITIES MANAGEMENT, INC.
March 6, 1989 - September 13, 1993
MCKINNON & COMPANY, INC.
October 22, 1985 - January 5, 1989
INVESTMENT CORPORATION OF VIRGINIA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 |
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.
