DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

RICHARD B CONSTANTINE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HUNTSVILLE, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dd721024-cb42-da20-c1a6-78618c08a05b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Feb 4, 2022 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Feb 4, 2022
First registration: Feb 4, 2022
Dual registered: yes, broker-dealer
Other names: RICHARD CONSTANTINE|RICHARD Balazs CONSTANTINE
IAPD individual key: 7474263

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 13, 2024	n/a	yes	HUNTSVILLE, AL	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Dec 22, 2023	Oct 31, 2024	no	Huntsville, AL\|Huntsville, AL\|Brentwood, TN	Previous registration
BRIDGEWORTH WEALTH MANAGEMENT	Former SEC adviser	Feb 15, 2023	Nov 28, 2023	no	BIRMINGHAM, AL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 30, 2022	Jan 26, 2023	no	MT. PLEASANT, SC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 4, 2022	Mar 30, 2022	no	BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AE WEALTH MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 31, 2024	Nov 13, 2024	13	Firm change	RIA to wirehouse
BRIDGEWORTH WEALTH MANAGEMENT	AE WEALTH MANAGEMENT, LLC	Nov 28, 2023	Dec 22, 2023	24	Firm change	RIA to ibd
PRUCO SECURITIES, LLC	BRIDGEWORTH WEALTH MANAGEMENT	Jan 26, 2023	Feb 15, 2023	20	Firm change	Ibd to RIA
WELLS FARGO ADVISORS	PRUCO SECURITIES, LLC	Mar 30, 2022	Sep 30, 2022	184	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Nov 13, 2024 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 22, 2023 to Oct 31, 2024factForm ADV
→ BRIDGEWORTH WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 15, 2023 to Nov 28, 2023factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 30, 2022 to Jan 26, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 4, 2022 to Mar 30, 2022factForm ADV

Dated events

Occurred
Oct 31, 2024
Advisor changed firm
Richard B Constantine left Ae Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-11-13)
Form ADVobserved 5 days ago
Occurred
Nov 28, 2023
Advisor changed firm
Richard B Constantine left Bridgeworth Wealth Management for Ae Wealth Management, Llc (registered 2023-12-22)
Form ADVobserved 5 days ago
Occurred
Jan 26, 2023
Advisor changed firm
Richard B Constantine left Pruco Securities, Llc for Bridgeworth Wealth Management (registered 2023-02-15)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2022
Advisor changed firm
Richard B Constantine left Wells Fargo Advisors for Pruco Securities, Llc (registered 2022-09-30)
Form ADVobserved 5 days ago