Richard B Constantine

Financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated · Huntsville, AL

Last updated 2026-10-10

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Richard B Constantine is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Huntsville, AL, CRD 7474263. Licenses and exams on the registration: Series 66. IAPD registration began 2022-02-04.

Registration

CRD number
7474263
Registration status
Active
IAPD registration
2022-02-04
Industry Experience
4 years
Work Experience
10 years
States registered
AL, MT, TX

Licenses and exams

  • Series 66

Work history

  • 2021-11 to 2022-03 · Wells Fargo Clearing Services, LLC · Birmingham, AL
  • 2016-08 to 2017-05 · Volunteer State Cc · Gallatin, TN
  • 2017-08 to 2021-05 · Western Kentucky University · Bowling Green, KY
  • 2021-05 to 2021-10 · Unemployed · Huntsville, AL
  • 2022-08 to 2023-01 · Pruco Securities LLC · Mount Pleasant, SC
  • 2022-04 to 2022-08 · Unemployed · Huntsville, AL
  • 2022-08 to 2023-01 · The Prudential Insurance Company of America · Mount Pleasant, SC
  • 2023-01 to 2023-11 · Bridgeworth Wealth Management · Birmingham, AL
  • 2023-12 to 2024-11 · Ae Wealth Management, LLC · Topeka, KS
  • 2023-12 to 2024-11 · Wg Financial Group · Huntsville, AL
  • 2024-11 to Present · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Huntsville, AL
  • 2024-12 to Present · Bank of America, N.A. · Huntsville, AL

Current employment

SEC IAPD record for Richard B Constantine

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Regulatory AUM
$1,781,568,171,479
Registered advisors
25,565
Offices
5,327
Clients per advisor
71.9 (Moderate)
Average AUM per client
$968.8K (Low)
High-net-worth client ratio
28.4% (Moderate)

Merrill Lynch, Pierce, Fenner & Smith Incorporated: advisors, services and reported ETF investments

About

Richard B Constantine is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Huntsville, AL. Reported securities licenses include Series 66. The latest record indicates 4 years of industry experience and 10 years of reported work history. Reported roles include Bank of America, N.A., Ae Wealth Management, LLC, Wg Financial Group, Bridgeworth Wealth Management, among others.

Merrill Lynch, Pierce, Fenner & Smith Incorporated's firm-level Form ADV reports 25,565 advisors across 5,327 offices; approximately 71.9 clients per advisor, average assets per client of $968,779, and regulatory AUM of $1.8T; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, Insurance companies, Corporations or other businesses; services including Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers, Educational Seminars or Workshops.

What this firm offers

Filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated on Form ADV.

Client services

  • Individuals and Small Businesses
  • Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Other Advisers
  • Educational Seminars or Workshops
  • Other Advisory Service

Fee options

  • Percentage of Assets Under Management
  • Fixed Fees (Other Than Subscription)
  • Commissions

Business and affiliations

  • Broker-Dealer (Registered or Unregistered)
  • Insurance Broker or Agent
  • Sells Non-Advisory Products or Services
  • Broker-Dealer or Municipal Securities Dea
  • Other Investment Adviser (Incl. Financial
  • Registered Security-Based Swap Dealer
  • Futures Commission Merchant
  • Banking or Thrift Institution
  • Trust Company
  • Insurance Company or Agency
  • Pension Consultant
  • Real Estate Broker or Dealer

Location

4725 Whitesburg Dr SE, Huntsville, AL 35802

24 advisors at this office.

Merrill office in Huntsville, AL

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Contact

The firm's filed contact details.

Official record

View the official SEC IAPD record

Are you Richard B Constantine?

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