JR
Joseph C. Rosenthal
BLACKROCK INVESTMENT MANAGEMENT
Princeton, NJ 08540
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CRD#: 2376742
JR
Professional summary
Joseph Charles Rosenthal, who also goes by Joseph C Rosenthal, is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Princeton, New Jersey and BLACKROCK INVESTMENTS, LLC located in Princeton, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph C Rosenthal
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.
(1) FlexPaths LLC; Workplace Consulting; Consultant; Provide internal business development and sales coaching to CEO and consultants for use in upselling current clients developing new relationships increasing sales pipeline and closing business. This will include but not limited to reviewing pitches proposals outreach letters and messaging.; 12; Start Date: 09-01-2023 (2) Congregation B'Nai Israel; Synagogue - Religious Organization; Vice President - Board Member; Oversight of committee members - Membership Fundraising school and general operations; 10-12 hours a month hrs/month; Start Date:06-15-2024
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Charles Rosenthal's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 22, 2011 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 1 University Square Drive, Princeton, NJ 08540RIA
CRD#: 108928
Princeton, NJ
Current
June 22, 2011 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 1 University Square Dr, Princeton, NJ 08540BD
CRD#: 38642
Princeton, NJ
Past
September 21, 2009 - September 5, 2014
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
September 17, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
JERSEY CITY, NJ
Past
March 19, 2008 - September 9, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
SANFORD, ME
Past
March 19, 2008 - September 9, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
SANFORD, ME
Past
April 24, 2007 - March 4, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NEW YORK, NY
Past
April 24, 2007 - March 4, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
July 23, 2004 - August 27, 2007
RYAN BECK & CO.
RIA
CRD#: 3248
NEW YORK, NY
Past
July 23, 2004 - August 27, 2007
RYAN BECK & CO.
BD
CRD#: 3248
NEW YORK, NY
Past
June 3, 2002 - November 21, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PHILADELPHIA, PA
Past
May 5, 1999 - August 9, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 15, 1996 - May 12, 1997
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
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".
BI
BLACKROCK INVESTMENT MANAGEMENT, LLC
BLACKROCK INVESTMENT MANAGEMENT LLC | QA ADVISERS LLC | MERRILL LYNCH QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-ALTERNATIVE STRATEGIES | MERRILL LYNCH INVESTMENT MANAGERS, LLC | MERRILL LYNCH INVESTMENT MANAGERS - FIXED INCOME | MERRILL LYNCH GLOBAL SECURITIES FINANCING | BLACKROCK INVESTMENT MANAGEMENT, LLC
CRD#: 108928 / SEC#: 801-56972
RIA
Registered Investment Advisory firm - (11/9/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/16/2014)
RR
Alaska(7/16/2014)
RR
Arizona(7/16/2014)
RR
Arkansas(7/16/2014)
RR
California(7/16/2014)
RR
Colorado(7/16/2014)
RR
Connecticut(7/16/2014)
RR
Delaware(6/22/2011)
RR
District of Columbia(7/16/2014)
RR
Florida(7/16/2014)
RR
Georgia(7/16/2014)
RR
Hawaii(7/16/2014)
RR
Idaho(7/16/2014)
RR
Illinois(7/16/2014)
RR
Indiana(7/16/2014)
RR
Iowa(7/16/2014)
RR
Kansas(7/16/2014)
RR
Kentucky(7/16/2014)
RR
Louisiana(7/16/2014)
RR
Maine(7/16/2014)
RR
Maryland(7/16/2014)
RR
Massachusetts(7/16/2014)
RR
Michigan(7/16/2014)
RR
Minnesota(7/16/2014)
RR
Mississippi(7/16/2014)
RR
Missouri(7/16/2014)
RR
Montana(7/16/2014)
RR
Nebraska(7/16/2014)
RR
Nevada(7/16/2014)
RR
New Hampshire(7/16/2014)
RR
New Jersey(6/22/2011)
IAR
New Jersey(6/22/2011)
RR
New Mexico(7/16/2014)
RR
New York(6/22/2011)
RR
North Carolina(7/16/2014)
RR
North Dakota(7/16/2014)
RR
Ohio(7/16/2014)
RR
Oklahoma(7/16/2014)
RR
Oregon(7/16/2014)
RR
Pennsylvania(7/16/2014)
RR
Puerto Rico(7/16/2014)
RR
Rhode Island(7/16/2014)
RR
South Carolina(7/16/2014)
RR
South Dakota(7/16/2014)
RR
Tennessee(7/16/2014)
RR
Texas(7/16/2014)
RR
Utah(7/16/2014)
RR
Vermont(7/16/2014)
RR
Virgin Islands(7/16/2014)
RR
Virginia(7/16/2014)
RR
Washington(7/16/2014)
RR
West Virginia(7/16/2014)
RR
Wisconsin(7/16/2014)
RR
Wyoming(7/16/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BI
BLACKROCK INVESTMENT MANAGEMENT, LLC
BLACKROCK INVESTMENT MANAGEMENT LLC | QA ADVISERS LLC | MERRILL LYNCH QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-ALTERNATIVE STRATEGIES | MERRILL LYNCH INVESTMENT MANAGERS, LLC | MERRILL LYNCH INVESTMENT MANAGERS - FIXED INCOME | MERRILL LYNCH GLOBAL SECURITIES FINANCING | BLACKROCK INVESTMENT MANAGEMENT, LLC
CRD#: 108928 / SEC#: 801-56972
RIA
Registered Investment Advisory firm - (11/9/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 University Square Drive, Princeton, NJ 08540
Mailing Address
Phone number
(609) 282-2000
Established
Firm type
Fiscal year end
# of Employees
1,457
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48,659 |
| AUM (Assets Under Management) | $ 508,159,772,327 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 10/24/2024 | ||
| 01/26/2024 |
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.
Company Information
BLACKROCK INVESTMENT MANAGEMENT, LLC
CRD#: 108928Princeton, NJ 08540TRUST BUT VERIFY
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