Craig P. Constable
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.
Craig Pyott Constable, who also goes by Craig Pyott Constable Mr, Craig Constable, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2007. Craig had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2021 - October 7, 2022
VANGUARD MARKETING CORPORATION
August 2, 2021 - October 7, 2022
VANGUARD ADVISERS, INC.
December 19, 2019 - May 20, 2021
CITIZENS SECURITIES, INC.
December 19, 2019 - May 20, 2021
CITIZENS SECURITIES, INC.
June 17, 2016 - December 31, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
June 17, 2016 - December 31, 2019
ALLSTATE FINANCIAL SERVICES, LLC
September 10, 2013 - July 30, 2015
MORGAN STANLEY
September 10, 2013 - July 30, 2015
MORGAN STANLEY
February 11, 2009 - December 14, 2012
MML INVESTORS SERVICES, LLC
March 27, 2008 - December 14, 2012
MML INVESTORS SERVICES, LLC
April 25, 2007 - April 1, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
April 25, 2007 - April 1, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
February 12, 2007 - February 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 12, 2007 - February 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
