Jason Hsiao

Some features on this profile are disabled

CRD#: 4424387

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jason Hsiao was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 2001. Jason had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 29, 2014 - July 5, 2017

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

SAN FRANCISCO, CA

Past

August 6, 2014 - July 5, 2017

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

September 22, 2008 - July 29, 2010

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 4, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 11, 2004 - June 29, 2006

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

October 22, 2001 - December 12, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/20/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2014

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/2/2009

National Commodity Futures Examination

Current Firm

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLACKROCK INVESTMENT MANAGEMENT, LLC - BROCHURE (10/1/2025)

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	Cover Page	Report
10/24/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jason Hsiao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

BLACKROCK INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/20/2014

SIE

Date: 7/5/2017

Series 7

Date: 8/6/2014

Series 3

Date: 10/2/2009

Current Firm

BLACKROCK INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BLACKROCK INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors