Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
FREDERICK GENE COSTANTINO SR
FRED GENE COSTANTINO
CRD#: 844941
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 NAPLES, FL
Registration History
199019952000200520102015202020252 FIRMS2013 - Present (11 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2009 - 2013 (4 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2002 - 2009 (6 years)BCARILLON INVESTMENTS, INC. (CRD# 14646)1986 - 2002 (15 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2010 - 2013 (2 years)
License(s)

State Registrations

B
Alabama 12/20/2024
B
Nevada 5/16/2016
B
Alaska 3/4/2019
B
New Hampshire 3/11/2019
B
Arizona 9/27/2013
B
New Jersey 9/27/2013
B
California 9/27/2013
IA
New Jersey 9/27/2013
B
Colorado 9/27/2013
B
New Mexico 3/2/2021
B
Connecticut 9/27/2013
B
New York 9/27/2013
B
District of Columbia 9/27/2013
IA
New York 6/16/2021
B
Florida 9/27/2013
B
North Carolina 9/27/2013
IA
Florida 10/1/2013
B
Ohio 9/27/2013
B
Georgia 9/27/2013
B
Oklahoma 1/31/2022
B
Hawaii 3/11/2019
B
Oregon 3/4/2019
B
Idaho 11/19/2021
B
Pennsylvania 9/27/2013
B
Illinois 3/5/2021
B
Rhode Island 8/27/2018
B
Louisiana 3/5/2021
B
South Carolina 9/27/2013
B
Maine 9/27/2013
B
Tennessee 10/17/2013
B
Maryland 2/28/2017
B
Texas 3/11/2019
B
Massachusetts 9/27/2013
IA
Texas 4/2/2020
B
Michigan 8/27/2018
B
Vermont 9/27/2013
B
Minnesota 3/3/2022
B
Virginia 9/27/2013
B
Nebraska 3/4/2019
B
Wisconsin 3/3/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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)
IA
MORGAN STANLEY (CRD#:149777)
NAPLES, FL
Registered with this firm since 9/27/2013
B
MORGAN STANLEY (CRD#:149777)
NAPLES, FL
Registered with this firm since 9/27/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/13/2010 - 09/30/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) JOHNSON CITY, NY
B
 01/30/2009 - 09/30/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) JOHNSON CITY, NY
B
 04/16/2002 - 02/02/2009 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) VESTAL, NY
B
 07/16/1986 - 04/17/2002 CARILLON INVESTMENTS, INC. (CRD#:14646) CINCINNATI, OH
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.
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
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.