RK
Richard D. Kozlowski
BLACKROCK INVESTMENT MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2518027
RK
Professional summary
Richard Dennis Kozlowski is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Chicago, Illinois and BLACKROCK INVESTMENTS, LLC located in Chicago, Illinois.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Geowealth; TAMP (Turnkey Asset Management Platform); ROLE / TITLE:Observing Board Member; Join and observe Board Meetings; 2 hours per month hrs/month; Start Date:09-26-2024
CRS (Client Relationship Summary) - RIA
Click below to view Richard Dennis Kozlowski'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
September 23, 2022 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 227 West Monroe Street, Chicago, IL 60606RIA
CRD#: 108928
Chicago, IL
Current
January 29, 2015 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 227 W. Monroe Street Suite 4300, Chicago, IL 60606BD
CRD#: 38642
CHICAGO, IL
Past
February 18, 2004 - January 13, 2015
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
April 20, 1999 - January 13, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
August 12, 1994 - April 5, 1999
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
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(1/29/2015)
RR
Alaska(1/29/2015)
RR
Arizona(1/29/2015)
RR
Arkansas(1/29/2015)
RR
California(1/29/2015)
RR
Colorado(1/29/2015)
RR
Connecticut(1/29/2015)
RR
Delaware(1/29/2015)
RR
District of Columbia(1/29/2015)
RR
Florida(1/29/2015)
RR
Georgia(1/29/2015)
RR
Hawaii(1/29/2015)
RR
Idaho(1/29/2015)
RR
Illinois(1/29/2015)
IAR
Illinois(9/23/2022)
RR
Indiana(1/29/2015)
RR
Iowa(1/29/2015)
RR
Kansas(1/29/2015)
RR
Kentucky(1/29/2015)
RR
Louisiana(1/29/2015)
RR
Maine(1/29/2015)
RR
Maryland(1/29/2015)
RR
Massachusetts(1/29/2015)
RR
Michigan(1/29/2015)
RR
Minnesota(1/29/2015)
RR
Mississippi(1/29/2015)
RR
Missouri(1/29/2015)
RR
Montana(1/29/2015)
RR
Nebraska(1/29/2015)
RR
Nevada(1/29/2015)
RR
New Hampshire(1/29/2015)
RR
New Jersey(1/29/2015)
IAR
New Jersey(9/29/2022)
RR
New Mexico(1/29/2015)
RR
New York(1/29/2015)
RR
North Carolina(1/29/2015)
RR
North Dakota(1/29/2015)
RR
Ohio(1/29/2015)
RR
Oklahoma(1/29/2015)
RR
Oregon(1/29/2015)
RR
Pennsylvania(1/29/2015)
RR
Puerto Rico(1/29/2015)
RR
Rhode Island(1/29/2015)
RR
South Carolina(1/29/2015)
RR
South Dakota(1/29/2015)
RR
Tennessee(1/29/2015)
RR
Texas(1/29/2015)
RR
Utah(1/29/2015)
RR
Vermont(1/29/2015)
RR
Virgin Islands(1/29/2015)
RR
Virginia(1/29/2015)
RR
Washington(1/29/2015)
RR
West Virginia(1/29/2015)
RR
Wisconsin(1/29/2015)
RR
Wyoming(1/29/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
