KS
Khari E. Smith
BLACKROCK INVESTMENT MANAGEMENT
New York, NY 10001
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CRD#: 4317969
KS
Professional summary
Khari Edward Smith is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in New York, New York and BLACKROCK INVESTMENTS, LLC located in New York, New York.
Khari is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Khari has worked at 13 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 7, Series 6 and Series 30 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Khari Edward Smith'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 1, 2023 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 50 Hudson Yards, New York, NY 10001RIA
CRD#: 108928
New York, NY
Current
May 31, 2023 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 50 Hudson Yards, New York, NY 10001BD
CRD#: 38642
New York, NY
Past
January 16, 2021 - February 22, 2023
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
CHICAGO, IL
Past
November 19, 2020 - February 22, 2023
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHARLOTTE, NC
Past
January 2, 2019 - October 19, 2020
AQR INVESTMENTS, LLC
BD
CRD#: 289244
Greenwich, CT
Past
November 10, 2014 - December 31, 2018
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
December 18, 2012 - October 21, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
December 3, 2012 - October 21, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
June 14, 2011 - September 11, 2012
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
COLUMBUS, OH
Past
July 15, 2010 - September 10, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
September 25, 2006 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
RIA
CRD#: 7927
FORT WASHINGTON, PA
Past
September 13, 2006 - June 22, 2010
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
May 17, 2005 - August 14, 2006
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
August 13, 2001 - May 24, 2005
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
Past
December 19, 2000 - July 9, 2001
SYMETRA SECURITIES, INC.
BD
CRD#: 739
BELLEVUE, WA
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(5/31/2023)
RR
Alaska(5/31/2023)
RR
Arizona(5/31/2023)
RR
Arkansas(5/31/2023)
RR
California(5/31/2023)
RR
Colorado(5/31/2023)
RR
Connecticut(5/31/2023)
RR
Delaware(5/31/2023)
RR
District of Columbia(5/31/2023)
RR
Florida(5/31/2023)
RR
Georgia(5/31/2023)
RR
Hawaii(5/31/2023)
RR
Idaho(5/31/2023)
RR
Illinois(5/31/2023)
RR
Indiana(5/31/2023)
RR
Iowa(5/31/2023)
RR
Kansas(5/31/2023)
RR
Kentucky(5/31/2023)
RR
Louisiana(5/31/2023)
RR
Maine(5/31/2023)
RR
Maryland(5/31/2023)
RR
Massachusetts(5/31/2023)
RR
Michigan(5/31/2023)
RR
Minnesota(5/31/2023)
RR
Mississippi(5/31/2023)
RR
Missouri(5/31/2023)
RR
Montana(5/31/2023)
RR
Nebraska(5/31/2023)
RR
Nevada(5/31/2023)
RR
New Hampshire(5/31/2023)
RR
New Jersey(5/31/2023)
IAR
New Jersey(6/1/2023)
RR
New Mexico(5/31/2023)
RR
New York(5/31/2023)
RR
North Carolina(5/31/2023)
IAR
North Carolina(6/1/2023)
RR
North Dakota(5/31/2023)
RR
Ohio(5/31/2023)
RR
Oklahoma(5/31/2023)
RR
Oregon(5/31/2023)
RR
Pennsylvania(5/31/2023)
RR
Puerto Rico(5/31/2023)
RR
Rhode Island(5/31/2023)
RR
South Carolina(5/31/2023)
RR
South Dakota(5/31/2023)
RR
Tennessee(7/25/2023)
RR
Texas(5/31/2023)
RR
Utah(5/31/2023)
RR
Vermont(5/31/2023)
RR
Virgin Islands(5/31/2023)
RR
Virginia(5/31/2023)
RR
Washington(5/31/2023)
RR
West Virginia(5/31/2023)
RR
Wisconsin(5/31/2023)
RR
Wyoming(5/31/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
