CS
Carrie K. Schroen
BLACKROCK INVESTMENT MANAGEMENT
Princeton, NJ 08540
Some features on this profile are disabled
CRD#: 4287113
CS
Professional summary
Carrie Kirk Schroen, who also goes by Carrie Ann Kirk, Carrie K Schroen, is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Princeton, New Jersey and BLACKROCK INVESTMENTS, LLC located in Chicago, Illinois.
Carrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Carrie has worked at 10 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carrie Ann Kirk | Carrie K Schroen
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.
MY SIGNATURE LIFESTYLE. 17863 LAKE RD, LAKEWOOD, OH. SENIOR AND FAMILY WELLNESS AND NUTRITION, CO-OWNER AND PRESIDENT SINCE JULY 3, 2012. 10 HOURS PER MONTH, 0 DURING NORMAL SECURITIES TRADING HOURS. NON INVESTMENT RELATED. (2) Sisters of Humility of Mary Investment Committee (Pulaski, PA). Investment Committee Member- Member of board to review savings and distributions to support nuns. 1 hour per month devoted to Committee. (3) Pinecone Properties of Pinehurst; Residential housing rental; Owner; 1 hour; StartDate: 12/08/2021
CRS (Client Relationship Summary) - RIA
Click below to view Carrie Kirk Schroen'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
March 17, 2015 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 1 University Square Drive, Princeton, NJ 08540RIA
CRD#: 108928
Princeton, NJ
Current
March 17, 2015 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 227 W. Monroe Street Suite 4300, Chicago, IL 60606BD
CRD#: 38642
CHICAGO, IL
Past
September 29, 2011 - February 13, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
LAKEWOOD, OH
Past
May 6, 2010 - May 24, 2011
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
NEW YORK, NY
Past
December 21, 2009 - May 4, 2010
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
NEW YORK, NY
Past
April 7, 2009 - February 13, 2015
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
October 4, 2007 - March 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLEVELAND, OH
Past
September 24, 2007 - March 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLEVELAND, OH
Past
May 2, 2007 - August 23, 2007
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
BOSTON, MA
Past
March 2, 2005 - April 16, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
June 9, 2004 - February 24, 2005
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
EAST BRUNSWICK, NJ
Past
June 9, 2004 - February 24, 2005
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
August 20, 2002 - April 6, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
STAMFORD, CT
Past
August 20, 2002 - April 6, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 30, 2000 - February 27, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(11/16/2018)
RR
Alaska(11/16/2018)
RR
Arizona(11/16/2018)
RR
Arkansas(11/16/2018)
RR
California(11/16/2018)
RR
Colorado(11/16/2018)
RR
Connecticut(11/16/2018)
RR
Delaware(11/16/2018)
RR
District of Columbia(11/16/2018)
RR
Florida(11/16/2018)
RR
Georgia(11/16/2018)
RR
Hawaii(11/16/2018)
RR
Idaho(11/16/2018)
RR
Illinois(11/16/2018)
RR
Indiana(11/16/2018)
RR
Iowa(11/16/2018)
RR
Kansas(11/16/2018)
RR
Kentucky(11/16/2018)
RR
Louisiana(11/16/2018)
RR
Maine(11/16/2018)
RR
Maryland(11/16/2018)
RR
Massachusetts(11/16/2018)
RR
Michigan(11/16/2018)
RR
Minnesota(11/16/2018)
RR
Mississippi(11/16/2018)
RR
Missouri(11/16/2018)
RR
Montana(11/16/2018)
RR
Nebraska(11/16/2018)
RR
Nevada(11/16/2018)
RR
New Hampshire(11/16/2018)
RR
New Jersey(3/17/2015)
IAR
New Jersey(3/18/2015)
RR
New Mexico(11/16/2018)
RR
New York(3/17/2015)
RR
North Carolina(11/16/2018)
IAR
North Carolina(8/13/2020)
RR
North Dakota(11/16/2018)
RR
Ohio(3/17/2015)
RR
Oklahoma(11/16/2018)
RR
Oregon(11/16/2018)
RR
Pennsylvania(3/17/2015)
RR
Puerto Rico(11/16/2018)
RR
Rhode Island(11/16/2018)
RR
South Carolina(11/16/2018)
RR
South Dakota(11/16/2018)
RR
Tennessee(11/16/2018)
RR
Texas(11/16/2018)
RR
Utah(11/16/2018)
RR
Vermont(11/16/2018)
RR
Virgin Islands(11/16/2018)
RR
Virginia(11/16/2018)
RR
Washington(11/16/2018)
RR
West Virginia(3/17/2015)
RR
Wisconsin(11/16/2018)
RR
Wyoming(11/16/2018)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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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