Silvana Lau

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CRD#: 4470697

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.

Silvana Lau, who also goes by Silvana Sue-yan Lau, was a registered financial professional .

Silvana is a previously registered financial professional and started their career in finance in 2007. Silvana had worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Silvana Sue-Yan Lau

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

December 13, 2018 - January 20, 2023

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

New York, NY

Past

December 12, 2018 - January 20, 2023

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

March 20, 2018 - October 12, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Jersey City, NJ

Past

March 14, 2007 - December 31, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

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: 1/18/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/12/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2007

General Securities Representative Examination

Current Firm

BLACKROCK INVESTMENT MANAGEMENT, LLC

CRD#: 108928 / SEC#: 801-56972

RIA

Registered Investment Advisory firm - (11/9/1999 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLACKROCK INVESTMENT MANAGEMENT, LLC - BROCHURE (1/27/2026)

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.

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Advisor Monitoring

Firm Stability Insights

Silvana Lau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

BLACKROCK INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/2019

Series 7TO

Date: 12/12/2018

SIE

Date: 11/13/2018

Series 7

Date: 3/13/2007

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

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