Er'rynne L. Comstock
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.
Er'rynne L Comstock, who also goes by Errynne L Comstock, Errynne Lynne Comstock, Errynne Comstock, Errynne Lynne Washburn, Er'rynne Lynne Wingo, Errynne Lynne Wingo, was a registered financial professional .
Er'rynne is a previously registered financial professional and started their career in finance in 1988. Er'rynne had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2004 - July 6, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2000 - July 6, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 1999 - April 26, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
August 28, 1998 - February 12, 1999
MORGAN KEEGAN & COMPANY, LLC
June 17, 1992 - July 23, 1998
UBS FINANCIAL SERVICES INC.
July 29, 1991 - August 21, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 1990 - May 2, 1991
FIRST UNION CAPITAL MARKETS CORP.
November 1, 1989 - February 5, 1990
LEHMAN BROTHERS INC.
February 23, 1988 - October 31, 1989
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 8
Date: 11/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
