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Investment Adviser Firm Summary
BLACKROCK FINANCIAL MANAGEMENT, INC ( CRD # 107105/SEC#:801-48433 )
BLACKROCK FINANCIAL MANAGEMENT, INC

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved2/28/1995
OklahomaTerminated3/31/2006
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama5/8/2006
Alaska4/7/2006
Arizona3/31/2006
Arkansas4/4/2006
California4/9/2003
Colorado3/31/2006
Connecticut3/31/2006
Delaware4/10/2006
District of Columbia3/31/2006
Florida4/3/2006
Georgia3/31/2006
Hawaii3/31/2006
Idaho3/31/2006
Illinois5/2/2006
Indiana3/31/2006
Iowa4/3/2006
Kansas3/31/2006
Kentucky3/31/2006
Louisiana3/31/2006
Maine3/31/2006
Maryland3/31/2006
Massachusetts3/31/2006
Michigan3/31/2006
Minnesota4/10/2006
Mississippi3/31/2006
Missouri3/31/2006
Montana3/31/2006
Nebraska3/31/2006
Nevada3/31/2006
New Hampshire3/31/2006
New Jersey5/10/2006
New Mexico3/31/2006
New York2/1/1995
North Carolina3/31/2006
North Dakota3/31/2006
Ohio3/31/2006
Oklahoma3/31/2006
Oregon3/31/2006
Pennsylvania3/31/2006
Puerto Rico3/31/2006
Rhode Island3/31/2006
South Carolina3/31/2006
South Dakota3/31/2006
Tennessee4/3/2006
Texas3/31/2006
Utah3/31/2006
Vermont3/31/2006
Virgin Islands3/31/2008
Virginia3/31/2006
Washington3/31/2006
West Virginia3/31/2006
Wisconsin3/31/2006
Wyoming8/28/2017
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.