Michael Constantinou
Professional summary
Michael Constantinou, who also goes by Michael Jason Constantinou, Michael Constantinou, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Iselin, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 9 firms and has passed the Series 63, Series 6TO, Series 22TO, Series 82TO, Series 99TO, SIE, Series 16, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Constantinou's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2023 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 194 S Wood Ave, Iselin, NJ 08830January 3, 2022 - July 21, 2022
WOLFE RESEARCH SECURITIES
February 11, 2016 - December 3, 2021
HSBC SECURITIES (USA) INC.
January 7, 2015 - February 10, 2016
CREDIT SUISSE SECURITIES (USA) LLC
March 3, 2010 - October 7, 2011
UBS SECURITIES LLC
December 21, 2007 - October 7, 2011
UBS FINANCIAL SERVICES INC.
October 7, 2002 - May 26, 2009
UBS SECURITIES LLC
October 15, 1999 - October 16, 2001
CREDIT SUISSE SECURITIES (USA) LLC
December 2, 1996 - October 18, 1999
GE INVESTMENT DISTRIBUTORS, INC
March 27, 1996 - May 24, 1996
SCHONFELD SECURITIES, LLC
June 15, 1995 - March 25, 1996
ROYCE INVESTMENT GROUP, INC.
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 6TO
Date: 4/13/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 4/13/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 4/13/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 4/13/2023
Operations Professional Examination24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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