Stephen Charles Constantine

CRD 1127120 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boca Raton, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (39): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1127120 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boca Raton, FL · IA capacity

Mar 8, 2006 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boca Raton, FL · BC capacity

start not retrieved → present
Advest, Inc.
IA capacity

Mar 28, 2003 → Mar 8, 2006
Advest, Inc.
BD capacity

Jan 23, 1996 → Mar 8, 2006
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 29, 1986 → Aug 31, 1995
Dean Witter Reynolds Inc.
BD capacity

May 26, 1983 → Oct 3, 1986

Source & corrections

Where this page comes from

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