Daniel W. Courtney
BLACKROCK INVESTMENTS
New York, NY 10001
Some features on this profile are disabled
CRD#: 5372986
Professional summary
Daniel William Courtney, CIMA®, who also goes by Daniel W Courtney, Daniel Courtney, Daniel William Courtney, is a registered financial professional currently at BLACKROCK INVESTMENTS, LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 9 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Biography
I'm a CFP® professional, an IRS Enrolled Agent, and have over 30 years of experience in the financial services and technology industries.
Question & Answer
What are your service offerings?
Advice-only
fee-only
fiduciary comprehensive financ...
tax planning
and tax preparation for invest...
no hidden fees
and no control over your inves...
Do you have an area of expertise or specialization?
Baby Boomers
Business Owners
College/Education Planning
Corporate Executives
Entrepreneurs
Estate & Generational Planning...
Are you a "fiduciary"?
No
Aliases
Daniel W Courtney | Daniel Courtney | Daniel William Courtney
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel William Courtney'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®
Experience
Current
October 6, 2025 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 50 Hudson Yards, New York, NY 10001BD
CRD#: 38642
New York, NY
Past
October 18, 2022 - September 22, 2025
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
BD
CRD#: 313390
New York, NY
Past
April 14, 2021 - October 11, 2022
YIELDSTREET MARKETS LLC
BD
CRD#: 172295
NEW YORK, NY
Past
October 30, 2019 - March 19, 2021
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
June 25, 2018 - October 28, 2019
ALPHAMAX DISTRIBUTORS, L.L.C.
BD
CRD#: 8258
LA JOLLA, CA
Past
June 6, 2014 - July 19, 2018
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
NEW YORK, NY
Past
May 20, 2014 - July 19, 2018
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
STAMFORD, CT
Past
August 6, 2009 - May 7, 2014
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
July 21, 2009 - May 7, 2014
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
December 23, 2008 - July 21, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(10/6/2025)
RR
Alaska(10/6/2025)
RR
Arizona(10/6/2025)
RR
Arkansas(10/6/2025)
RR
California(10/6/2025)
RR
Colorado(10/6/2025)
RR
Connecticut(10/6/2025)
RR
Delaware(10/6/2025)
RR
District of Columbia(10/6/2025)
RR
Florida(10/6/2025)
RR
Georgia(10/6/2025)
RR
Hawaii(10/6/2025)
RR
Idaho(10/6/2025)
RR
Illinois(10/6/2025)
RR
Indiana(10/6/2025)
RR
Iowa(10/6/2025)
RR
Kansas(10/6/2025)
RR
Kentucky(10/6/2025)
RR
Louisiana(10/6/2025)
RR
Maine(10/6/2025)
RR
Maryland(10/6/2025)
RR
Massachusetts(10/6/2025)
RR
Michigan(10/6/2025)
RR
Minnesota(10/6/2025)
RR
Mississippi(10/6/2025)
RR
Missouri(10/6/2025)
RR
Montana(10/6/2025)
RR
Nebraska(10/6/2025)
RR
Nevada(10/6/2025)
RR
New Hampshire(10/6/2025)
RR
New Jersey(10/6/2025)
RR
New Mexico(10/6/2025)
RR
New York(10/6/2025)
RR
North Carolina(10/6/2025)
RR
North Dakota(10/6/2025)
RR
Ohio(10/7/2025)
RR
Oklahoma(10/6/2025)
RR
Oregon(10/6/2025)
RR
Pennsylvania(10/6/2025)
RR
Puerto Rico(10/6/2025)
RR
Rhode Island(10/6/2025)
RR
South Carolina(10/6/2025)
RR
South Dakota(10/6/2025)
RR
Tennessee(10/6/2025)
RR
Texas(10/6/2025)
RR
Utah(10/6/2025)
RR
Vermont(10/6/2025)
RR
Virgin Islands(10/6/2025)
RR
Virginia(10/6/2025)
RR
Washington(10/6/2025)
RR
West Virginia(10/6/2025)
RR
Wisconsin(10/6/2025)
RR
Wyoming(10/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BI
BLACKROCK INVESTMENTS, LLC
BFM ADVISORY, INC. | PROVIDENT ADVISORS, INC. | PROVIDENT ADVISERS, INC. | BLACKROCK INVESTMENTS, LLC | BLACKROCK INVESTMENTS, INC.
CRD#: 38642 / SEC#: , 8-48436
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
50 Hudson Yards, New York, NY 10001
Mailing Address
1 University Square Drive, Princeton, NJ 08540
Phone number
(609) 282-3046
Established
Delaware since 10/21/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
