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DS

Derek N. Stein

BLACKROCK EXECUTION SERVICES
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 4382888
DS

Professional summary

Derek Neville Stein is a registered financial professional currently at BLACKROCK EXECUTION SERVICES located in San Francisco, California.

Derek is registered as a RR (Registered Representative) and started their career in finance in 2002. Derek has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derek Neville Stein'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

October 18, 2006 - Present

BLACKROCK EXECUTION SERVICES

Office #1: 400 Howard Street, San Francisco, CA 94105
BD
CRD#: 39438
San Francisco, CA
Past

February 28, 2003 - August 30, 2005

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

January 17, 2002 - August 30, 2005

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BE
BLACKROCK EXECUTION SERVICES
BARCLAYS GLOBAL INVESTORS SERVICES | BZW GLOBAL INVESTORS SERVICES | BZW BARCLAYS GLOBAL INVESTORS SERVICES | BLACKROCK EXECUTION SERVICES

CRD#: 39438 / SEC#: , 8-48719

BD
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
California since 08/31/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.SHAREHOLDER
DEVICO, JOSEPH GEORGEDIRECTOR2808563
HEROLD, MEREDITH LCHIEF EXECUTIVE OFFICER AND DIRECTOR4792340
MARCUS, ZACHARY SETHCHIEF FINANCIAL OFFICER AND FINOP7040433
MARO, JONATHAN MARTINDIRECTOR6476640
MEADE, CHRISTOPHER JOSEPHCHIEF LEGAL OFFICER6728448
ROHE, DOMINIKDIRECTOR3275040
ROSTA, GREGORY MATTHEWCHIEF COMPLIANCE OFFICER5193482
SKOWRONSKI, SCOTT MICHAELCHIEF OPERATING OFFICER5171257
VILLACORTA, ROLAND ESTEBANDIRECTOR2566073

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 EXECUTION SERVICES

CRD#: 39438San Francisco, CA 94105

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