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RM

Rie C. Masui

BLACKROCK EXECUTION SERVICES
New York, NY 10001
Some features on this profile are disabled
CRD#: 5389870
RM

Professional summary

Rie Cynthia Masui is a registered financial professional currently at BLACKROCK EXECUTION SERVICES located in New York, New York.

Rie is registered as a RR (Registered Representative) and started their career in finance in 2007. Rie has worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Rie Cynthia Masui'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®
None

Experience

Current

November 13, 2015 - Present

BLACKROCK EXECUTION SERVICES

Office #1: 50 Hudson Yards, New York, NY 10001
BD
CRD#: 39438
New York, NY
Past

October 22, 2009 - October 8, 2015

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

August 29, 2007 - May 15, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
California
(5/10/2016)
RR
Georgia
(8/11/2022)
RR
New Jersey
(5/10/2016)
RR
New York
(11/13/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/30/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/14/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BE
BLACKROCK EXECUTION SERVICES
BARCLAYS GLOBAL INVESTORS SERVICES | BZW GLOBAL INVESTORS SERVICES | BZW BARCLAYS GLOBAL INVESTORS SERVICES | BLACKROCK EXECUTION SERVICES

CRD#: 39438 / SEC#: , 8-48719

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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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
California since 08/31/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLACKROCK INSTITUTIONAL TRUST COMPANY, N.A.SHAREHOLDER
DEVICO, JOSEPH GEORGEDIRECTOR2808563
HEROLD, MEREDITH LCHIEF EXECUTIVE OFFICER AND DIRECTOR4792340
MARCUS, ZACHARY SETHCHIEF FINANCIAL OFFICER AND FINOP7040433
MARO, JONATHAN MARTINDIRECTOR6476640
MEADE, CHRISTOPHER JOSEPHCHIEF LEGAL OFFICER6728448
ROHE, DOMINIKDIRECTOR3275040
ROSTA, GREGORY MATTHEWCHIEF COMPLIANCE OFFICER5193482
SKOWRONSKI, SCOTT MICHAELCHIEF OPERATING OFFICER5171257
VILLACORTA, ROLAND ESTEBANDIRECTOR2566073

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.

Company Information

BLACKROCK EXECUTION SERVICES

CRD#: 39438New York, NY 10001

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