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Detailed Report
Kathryn Ann Constantakis
KATE CONSTANTAKIS, KATHRYN ANN CONSTANTAKIS, Kathryn A Constantakis, Kathryn Szpak
CRD#: 4634680
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 141 South St. Clair Street
Suite 202
Pittsburgh, PA 15206
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2021 - 2021 (<1 year)2 FIRMS2023 - Present (1 year)BBRYAN FUNDING, INC. (CRD# 11899)2016 - 2019 (3 years)IATHREE RIVERS EXECUTIVE CONSULT... (CRD# 311549)2021 - 2023 (1 year)IABRYAN ADVISORY SERVICES, LLC (CRD# 153659)2013 - 2021 (7 years)IAMCKINLEY CARTER WEALTH SERVICE... (CRD# 135184)2011 - 2012 (1 year)IAGARRISON INSTITUTIONAL ASSET M... (CRD# 106873)2003 - 2004 (1 year)
License(s)

State Registrations

B
Delaware 8/30/2023
B
Pennsylvania 8/30/2023
B
New Jersey 8/30/2023
B
West Virginia 9/18/2023
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Pennsylvania 6/29/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
141 South St. Clair Street Suite 202, Pittsburgh, PA 15206
Wexfor, PA
Registered with this firm since 8/21/2023
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
141 South St. Clair Street Suite 202, Pittsburgh, PA 15206
Wexfor, PA
Registered with this firm since 6/29/2023
Previous Registration(s)
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 09/23/2021 - 01/31/2023 THREE RIVERS EXECUTIVE CONSULTING, LLC (CRD#:311549) WEXFORD, PA
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 09/20/2021 - 09/22/2021 THREE RIVERS EXECUTIVE CONSULTING, LLC (CRD#:311549) WEXFORD, PA
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 02/04/2021 - 09/08/2021 VESCIO ASSET MANAGEMENT, LLC (CRD#:311607) SEWICKLEY, PA
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 04/08/2013 - 01/13/2021 BRYAN ADVISORY SERVICES, LLC (CRD#:153659) CANONSBURG, PA
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 04/01/2016 - 11/01/2019 BRYAN FUNDING, INC. (CRD#:11899) CANONSBURG, PA
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 03/10/2011 - 08/07/2012 MCKINLEY CARTER WEALTH SERVICES, INC. (CRD#:135184) WEXFORD, PA
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 06/18/2003 - 06/14/2004 GARRISON INSTITUTIONAL ASSET MANAGEMENT (CRD#:106873) PITTSBURGH, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.