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WILLIAM R CONSTANTINE
BILL CONSTANTINE, WILLIAM R. CONSTANTINE, WILLIAM ROBERT CONSTANTINE
CRD#: 5304101
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 501 TOWNE SQUARE WAY
PITTSBURGH, PA 15227
PITTSBURGH, PA 15227
CETERA INVESTMENT SERVICES LLCCRD#: 15340 501 TOWNE SQUARE WAY
PITTSBURGH, PA 15227
PITTSBURGH, PA 15227
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5/7/2012
Customer Dispute
Settled
State Registrations
B
Florida 10/13/2015
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Pennsylvania 1/5/2017
B
Ohio 9/14/2015
B
South Carolina 8/2/2023
B
Pennsylvania 2/11/2014
B
West Virginia 7/10/2015
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 1/5/2017
B
Registered with this firm since 2/11/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/28/2012 - 02/13/2014 | MONROEVILLE, PA | |
B | 09/15/2010 - 11/27/2012 | FINLEYVILLE, PA | |
B | 05/28/2010 - 08/31/2010 | WEST MIFFLIN, PA | |
B | 02/06/2009 - 06/02/2010 | WEST MIFFLIN, PA | |
B | 03/26/2007 - 02/02/2009 | WEST MIFFLIN, PA |
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.