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Detailed Report
RISA MORIYAMA SISTOS
RISA KUNISAKI MORIYAMA
CRD#: 3028043
IA
Investment Adviser
B
Broker
BLACKROCK FUND ADVISORSCRD#: 105247 400 HOWARD STREET
SAN FRANCISCO, CA 94105
BLACKROCK INVESTMENTS, LLCCRD#: 38642 400 HOWARD STREET
SAN FRANCISCO, CA 94105
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (2 years)IABLACKROCK FUND ADVISORS (CRD# 105247)2008 - Present (17 years)BBLACKROCK INVESTMENTS, LLC (CRD# 38642)2012 - Present (13 years)BBLACKROCK EXECUTION SERVICES (CRD# 39438)2008 - 2014 (6 years)BBLACKROCK FUND DISTRIBUTION CO... (CRD# 146183)2009 - 2011 (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2005 - 2005 (<1 year)BROUND HILL SECURITIES, INC. (CRD# 35223)2000 - 2005 (4 years)BSELECT CAPITAL CORPORATION (CRD# 25089)1999 - 2000 (1 year)BFRANKLIN/TEMPLETON DISTRIBUTOR... (CRD# 332)1998 - 1999 (<1 year)
License(s)

State Registrations

IA
California 2/6/2008
B
California 1/3/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BLACKROCK FUND ADVISORS (CRD#:105247)
400 HOWARD STREET, SAN FRANCISCO, CA 94105
Registered with this firm since 2/6/2008
B
BLACKROCK INVESTMENTS, LLC (CRD#:38642)
400 HOWARD STREET, SAN FRANCISCO, CA 94105
Registered with this firm since 1/3/2012
Previous Registration(s)
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B
 02/06/2008 - 09/16/2014 BLACKROCK EXECUTION SERVICES (CRD#:39438) SAN FRANCISCO, CA
B
 11/24/2009 - 12/31/2011 BLACKROCK FUND DISTRIBUTION COMPANY (CRD#:146183) SAN FRANCISCO, CA
IA
 10/05/2005 - 01/18/2008 WELLS FARGO FUNDS MANAGEMENT, LLC (CRD#:110841) SAN FRANCISCO, CA
B
 10/04/2005 - 01/18/2008 WELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD#:133366) CHARLOTTE, NC
B
 06/13/2005 - 09/06/2005 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
 07/19/2000 - 06/13/2005 ROUND HILL SECURITIES, INC. (CRD#:35223) ALAMO, CA
B
 07/15/1999 - 07/12/2000 SELECT CAPITAL CORPORATION (CRD#:25089) SACRAMENTO, CA
B
 09/16/1998 - 06/28/1999 FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (CRD#:332) SAN MATEO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.