Michael A. Costanzo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Anthony Costanzo, who also goes by Mike Costanzo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2014 - December 31, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 29, 2014 - July 24, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 31, 2007 - June 4, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 31, 2007 - June 4, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 10, 2005 - July 31, 2007
RYAN BECK & CO.
June 14, 2002 - July 31, 2007
RYAN BECK & CO.
January 3, 1994 - July 1, 2002
UBS FINANCIAL SERVICES INC.
July 31, 1993 - January 14, 1994
CITIGROUP GLOBAL MARKETS INC.
December 24, 1981 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/1/1981
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
