Carl R. Comstock
Professional summary
Carl Rocco Comstock is a registered financial professional currently at INTREPID INVESTMENT BANKERS LLC located in New York, New York.
Carl is registered as a RR (Registered Representative) and started their career in finance in 2014. Carl has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carl Rocco Comstock's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2023 - Present
INTREPID INVESTMENT BANKERS LLC
Office #1: 1221 Avenue Of The Americas, New York, NY 10020June 28, 2022 - March 23, 2023
BARCLAYS CAPITAL INC.
June 25, 2019 - June 27, 2022
COWEN AND COMPANY
September 19, 2017 - June 5, 2019
LINCOLN INTERNATIONAL LLC
December 5, 2014 - September 28, 2017
HOULIHAN LOKEY CAPITAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/15/2023)
(3/15/2023)
Exams
FINRA
Current Firm
INTREPID INVESTMENT BANKERS LLC
CRD#: 154801 / SEC#: , 8-68674
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| BAGDASARIAN, EDUARD | CEO | 1307175 |
| FREEDMAN, JAMES BARRY | MANAGING DIRECTOR, CHAIRMAN | 1616904 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MORIN, STACEY LYNN | CHIEF FINANCIAL OFFICER | 5649422 |
| ROSENBERG, W MICHAEL | SENIOR MANAGING DIRECTOR | 1617639 |
| SCANDURA, STEPHEN THOMAS | CHIEF COMPLIANCE OFFICER | 4539229 |
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.
