Claudia J. Ho

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CRD#: 5163107

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.

Claudia Jane Ho was a registered financial professional .

Claudia is a previously registered financial professional and started their career in finance in 2007. Claudia had worked at 5 firms and has passed the Series 66, SIE and Series 7 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

July 29, 2011 - December 13, 2018

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

SAN FRANCISCO, CA

Past

July 29, 2011 - December 13, 2018

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

July 20, 2010 - July 25, 2011

MORGAN STANLEY

RIA

CRD#: 149777

SAN FRANCISCO, CA

Past

July 15, 2010 - July 25, 2011

MORGAN STANLEY

CRD#: 149777

SAN FRANCISCO, CA

Past

April 30, 2008 - July 12, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

April 30, 2008 - July 12, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

Past

April 14, 2008 - April 29, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LOS ANGELES, CA

Past

July 24, 2007 - April 29, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

LOS ANGELES, CA

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 FINANCIAL MANAGEMENT, INC

CRD#: 107105 / SEC#: 801-48433

RIA

Registered Investment Advisory firm - (2/28/1995 Approved)

Oklahoma

Registered Investment Advisory firm - (3/31/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 66

Date: 4/7/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2007

General Securities Representative Examination

Current Firm

BLACKROCK FINANCIAL MANAGEMENT, INC

CRD#: 107105 / SEC#: 801-48433

RIA

Registered Investment Advisory firm - (2/28/1995 Approved)

Oklahoma

Registered Investment Advisory firm - (3/31/2006 Terminated)

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Contact information

Main Address

50 Hudson Yards, New York, NY 10001

Mailing Address

Phone number

(212) 810-5300

Established

Firm type

Fiscal year end

# of Employees

7,410

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLACKROCK FINANCIAL MANAGEMENT, INC. - BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	2,269
AUM (Assets Under Management)	$ 1,327,868,750,254

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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Firm Stability Insights

Claudia J. Ho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BLACKROCK FINANCIAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/23/2007

Current Firm

BLACKROCK FINANCIAL MANAGEMENT, INC

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 FINANCIAL MANAGEMENT, INC

TRUST BUT VERIFY

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