Constante Ross Abaya

CRD 2485305 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Beverly Hills, CA

IA RegisteredBroker

Also appears in the source record as: Ross Abaya; Constante Abaya

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (28): Alabama · Arizona · California · Colorado · Florida · Georgia · Hawaii · Idaho · Illinois · Louisiana · Maryland · Massachusetts · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · South Carolina · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Beverly Hills, CA · IA capacity

Nov 21, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Beverly Hills, CA · BC capacity

start not retrieved → present
T. Rowe Price Advisory Services, Inc.
IA capacity

Sep 1, 2017 → Mar 27, 2018
T. Rowe Price Investment Services, Inc.
BD capacity

Aug 14, 2013 → Mar 27, 2018
Quasar Distributors, LLC
BD capacity

Nov 9, 2009 → May 2, 2013
Brandes Investment Partners, LP
IA capacity

Jun 3, 1999 → May 1, 2013
Nicholas-Applegate Securities (A California Limited Partnership)
BD capacity

Sep 11, 1995 → May 3, 1999
Dean Witter Reynolds Inc.
BD capacity

May 25, 1995 → Aug 16, 1995
A. T. Brod & Co. Inc.
BD capacity

Nov 7, 1994 → Apr 12, 1995
J. A. Overton & Co., Inc.
BD capacity

Aug 10, 1994 → Nov 15, 1994
La Jolla Securities Corporation
BD capacity

May 10, 1994 → Aug 11, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2485305 ↗ FINRA BrokerCheck record for CRD 2485305 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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