AdFi
RJ

Ralph James Costanza

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Summit, NJCRD #54854Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
57 yrs
States Registered
30 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 30 states
ArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIdahoIllinoisIndianaKansasLouisianaMaineMarylandMassachusettsMichiganNew HampshireNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaSouth CarolinaTennesseeTexasUtahVirginiaWashington
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 6/10/2003
Series 7
General Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 1
Registered Representative Examination
Passed 6/27/1969
Series 24
General Securities Principal Examination
Passed 1/2/2023
Series 40
Registered Principal Examination
Passed 11/7/1977

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
4/16/2012Summit, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
4/10/2012Chester, NJ
MORGAN STANLEY SMITH BARNEY LLC
6/1/20095/8/2012Paramus, NJ
CITIGROUP GLOBAL MARKETS INC.
10/18/20026/1/2009Paramus, NJ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Showing 12 of 25660 in the directory

View MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ralph James Costanza has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Ralph James Costanza - Financial Advisor in Summit, NJ | AdvisorFinder