Stephen Charles Constantine

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2006 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 09/2009 → Present
  Bank Of America,Na
  Boca Raton, FL

Previous Registrations

• 2003-03-28 → 2006-03-08
  Advest, Inc.
  Boca Raton, FL

Other Businesses

I*48322 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION:IRA INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BOCA RATON, FLORIDA 33431 NATURE OF BUSINESS: OTHER,WIFE POSITION, TITLE, ASSOCIATION: OTHER START DATE OF RELATIONSHIP: 1/2/2012 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: POA I*120376 For profit or not for profit: Non-Profit Organization Name of outside business organization: Habitat for Humanity of South Palm Beach County Investment related: N Address of business: Delay Beach, Florida 33483 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/29/2019 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: serve on the board of directors as an ambassador of good will for the charity I*1461266 For profit or not for profit: Entity Charitable Name of outside business organization: Palm Beach State Foundation Board Investment related: N Address of business: West Palm Beach, Florida, 33401, United States Nature of business: ["School, College or University"] Position, title, association: ["Board Member"], Start date of relationship: 8/31/2023 Number of hours devoted: 15 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , general board member

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-05-17
• S63 Uniform Securities Agent State Law Examination
  1983-06-21