Steven D. Mccarthy

BLACKROCK INVESTMENT MANAGEMENT

Princeton, NJ 08540

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CRD#: 4510028

Professional summary

Steven Dominic Mccarthy, CIMA® is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Princeton, New Jersey and BLACKROCK INVESTMENTS, LLC located in Princeton, New Jersey.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Dominic Mccarthy's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 29, 2006 - Present

BLACKROCK INVESTMENT MANAGEMENT, LLC

Office #1: 1 University Square Drive, Princeton, NJ 08540

RIA

CRD#: 108928

Princeton, NJ

Current

September 29, 2006 - Present

BLACKROCK INVESTMENTS, LLC

Office #1: 1 University Square Dr, Princeton, NJ 08540

CRD#: 38642

Princeton, NJ

Past

May 18, 2005 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

May 12, 2005 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PLAINSBORO, NJ

Past

July 15, 2003 - October 16, 2003

CITISTREET FINANCIAL SERVICES LLC

RIA

CRD#: 107311

WOODBRIDGE, NJ

Past

May 28, 2003 - October 16, 2003

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

April 26, 2002 - April 30, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(2/18/2021)

Alaska
(6/28/2021)

Arizona
(2/18/2021)

Arkansas
(2/18/2021)

California
(2/18/2021)

Colorado
(2/18/2021)

Connecticut
(2/18/2021)

Delaware
(6/28/2021)

District of Columbia
(2/18/2021)

Florida
(2/18/2021)

Georgia
(2/18/2021)

Hawaii
(6/28/2021)

Idaho
(2/18/2021)

Illinois
(2/18/2021)

Indiana
(4/6/2020)

Iowa
(3/9/2021)

Kansas
(6/28/2021)

Kentucky
(4/6/2020)

Louisiana
(2/18/2021)

Maine
(6/28/2021)

Maryland
(2/18/2021)

Massachusetts
(6/28/2021)

Michigan
(6/28/2021)

Minnesota
(2/18/2021)

Mississippi
(2/18/2021)

Missouri
(2/18/2021)

Montana
(6/28/2021)

Nebraska
(6/28/2021)

Nevada
(6/28/2021)

New Hampshire
(6/28/2021)

New Jersey
(9/29/2006)

IAR

New Jersey
(9/29/2006)

New Mexico
(2/18/2021)

New York
(9/29/2006)

North Carolina
(2/18/2021)

North Dakota
(6/28/2021)

Ohio
(4/6/2020)

Oklahoma
(2/18/2021)

Oregon
(6/28/2021)

Pennsylvania
(4/6/2020)

Puerto Rico
(6/28/2021)

Rhode Island
(6/28/2021)

South Carolina
(2/18/2021)

South Dakota
(6/28/2021)

Tennessee
(2/18/2021)

Texas
(2/18/2021)

Utah
(2/18/2021)

Vermont
(6/28/2021)

Virgin Islands
(6/28/2021)

Virginia
(6/28/2021)

Washington
(2/18/2021)

West Virginia
(4/6/2020)

Wisconsin
(6/28/2021)

Wyoming
(6/28/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/9/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/2/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/25/2002

General Securities Representative Examination

SRO Registrations

FINRA

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 (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.

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Advisor Monitoring

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Steven D. Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Dominic Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

FAM DISTRIBUTORS, INC.

MERRILL LYNCH INVESTMENT MANAGERS LP

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

BLACKROCK INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2005

SIE

Date: 10/1/2018

Series 31

Date: 5/2/2002

Series 7

Date: 4/25/2002

FINRA

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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