Sarah E. Thompson

BLACKROCK INVESTMENTS

New York, NY 10001

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CRD#: 2782055

Professional summary

Sarah Ellen Thompson, who also goes by Sarah Ellen Croughan, is a registered financial professional currently at BLACKROCK INVESTMENTS, LLC located in New York, New York.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 1996. Sarah has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sarah Ellen Croughan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sarah Ellen Thompson'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®

None

Experience

Current

May 11, 2015 - Present

BLACKROCK INVESTMENTS, LLC

Office #1: 50 Hudson Yards, New York, NY 10001

CRD#: 38642

New York, NY

Past

September 22, 2008 - August 12, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 4, 2000 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 3, 1997 - January 10, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 25, 1996 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

CRD#: 3801

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(5/11/2015)

Exams

State Security Law Exam

Series 63

Date: 12/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BLACKROCK INVESTMENTS, LLC

BFM ADVISORY, INC. | PROVIDENT ADVISORS, INC. | PROVIDENT ADVISERS, INC. | BLACKROCK INVESTMENTS, LLC | BLACKROCK INVESTMENTS, INC.

CRD#: 38642 / SEC#: , 8-48436

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

50 Hudson Yards, New York, NY 10001

Mailing Address

1 University Square Drive, Princeton, NJ 08540

Phone number

(609) 282-3046

Established

Delaware since 10/21/1994

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BLACKROCK FINANCIAL MANAGEMENT, INC	SOLE SHAREHOLDER	107105
DEVICO, JOSEPH GEORGE	MANAGER	2808563
HEROLD, MEREDITH L	MANAGER	4792340
MARCUS, ZACHARY SETH	CHIEF FINANCIAL OFFICER AND FINOP	7040433
MARO, JONATHAN MARTIN	CHIEF EXECUTIVE OFFICER AND MANAGER	6476640
MEADE, CHRISTOPHER JOSEPH	CHIEF LEGAL OFFICER	6728448
ROHE, DOMINIK	MANAGER	3275040
ROSTA, GREGORY MATTHEW	CHIEF COMPLIANCE OFFICER	5193482
RZOMP, CYNTHIA SUEN-WAH	CHIEF OPERATING OFFICER	5221316
VILLACORTA, ROLAND ESTEBAN	MANAGER	2566073

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

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Firm Stability Insights

Sarah E. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sarah Ellen Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

CIBC WORLD MARKETS CORP.

CIBC WOOD GUNDY SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/24/1996

Series 24

Date: 7/1/2008

FINRA

Current Firm

BLACKROCK INVESTMENTS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BLACKROCK INVESTMENTS, LLC

TRUST BUT VERIFY

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