William J. Constantine

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CRD#: 868168

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.

William Joseph Constantine was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1979. William had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 4, 2005 - December 24, 2024

1919 INVESTMENT COUNSEL, LLC

RIA

CRD#: 133370

NEW YORK, NY

Past

October 21, 2003 - January 13, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 14, 1992 - February 4, 2005

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

NEW YORK, NY

Past

July 2, 1979 - October 21, 2003

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

1919 INVESTMENT COUNSEL, LLC

1919 INVESTMENT COUNSEL | LEGG MASON INVESTMENT COUNSEL, LLC | ARTHUR KARAFIN INVESTMENT ADVISORS, A DEPARTMENT OF 1919 INVESTMENT COUNSEL, LLC | 1919 INVESTMENT COUNSEL, LLC

CRD#: 133370 / SEC#: 801-63656

RIA

Registered Investment Advisory firm - (11/24/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/12/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/22/1992

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/28/1979

Registered Representative Examination

Current Firm

1919 INVESTMENT COUNSEL, LLC

1919 INVESTMENT COUNSEL | LEGG MASON INVESTMENT COUNSEL, LLC | ARTHUR KARAFIN INVESTMENT ADVISORS, A DEPARTMENT OF 1919 INVESTMENT COUNSEL, LLC | 1919 INVESTMENT COUNSEL, LLC

CRD#: 133370 / SEC#: 801-63656

RIA

Registered Investment Advisory firm - (11/24/2004 Approved)

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Contact information

Main Address

One South Street Suite 2500, Baltimore, MD 21202

Mailing Address

Phone number

(410) 454-2171

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

1919 INVESTMENT COUNSEL FORM ADV PART 2 BROCHURE (4/3/2025)

Regulatory assets under management

Total Number of Accounts	8,143
AUM (Assets Under Management)	$ 23,984,805,749

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
09/28/2023	Cover Page	Report
11/22/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

William J. Constantine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

1919 INVESTMENT COUNSEL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/1993

Series 63

Date: 11/16/1979

Series 7

Date: 10/22/1992

Series 1

Date: 6/28/1979

Current Firm

1919 INVESTMENT COUNSEL, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

1919 INVESTMENT COUNSEL, LLC

TRUST BUT VERIFY

Contact information

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