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JE

Joseph G. Ernst

BLACKROCK INVESTMENTS
New York, NY 10001
Some features on this profile are disabled
CRD#: 5417944
JE

Professional summary

Joseph Gerard Ernst is a registered financial professional currently at BLACKROCK INVESTMENTS, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 10 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 Joseph Gerard Ernst'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

October 20, 2011 - Present

BLACKROCK INVESTMENTS, LLC

Office #1: 50 Hudson Yards, New York, NY 10001
BD
CRD#: 38642
New York, NY
Past

November 15, 2007 - October 3, 2011

WESTWOOD CAPITAL, LLC

BD
CRD#: 39551
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
Alabama
(7/30/2014)
RR
Alaska
(7/30/2014)
RR
Arizona
(7/30/2014)
RR
Arkansas
(7/30/2014)
RR
California
(10/20/2011)
RR
Colorado
(7/30/2014)
RR
Connecticut
(10/20/2011)
RR
Delaware
(7/30/2014)
RR
District of Columbia
(10/20/2011)
RR
Florida
(10/20/2011)
RR
Georgia
(10/20/2011)
RR
Hawaii
(7/30/2014)
RR
Idaho
(7/30/2014)
RR
Illinois
(10/20/2011)
RR
Indiana
(7/30/2014)
RR
Iowa
(7/30/2014)
RR
Kansas
(7/30/2014)
RR
Kentucky
(7/30/2014)
RR
Louisiana
(7/30/2014)
RR
Maine
(10/20/2011)
RR
Maryland
(10/20/2011)
RR
Massachusetts
(10/20/2011)
RR
Michigan
(7/30/2014)
RR
Minnesota
(7/30/2014)
RR
Mississippi
(7/30/2014)
RR
Missouri
(7/30/2014)
RR
Montana
(7/30/2014)
RR
Nebraska
(7/30/2014)
RR
Nevada
(7/30/2014)
RR
New Hampshire
(10/20/2011)
RR
New Jersey
(10/20/2011)
RR
New Mexico
(7/30/2014)
RR
New York
(10/20/2011)
RR
North Carolina
(7/30/2014)
RR
North Dakota
(7/30/2014)
RR
Ohio
(7/30/2014)
RR
Oklahoma
(7/30/2014)
RR
Oregon
(7/30/2014)
RR
Pennsylvania
(10/20/2011)
RR
Puerto Rico
(7/30/2014)
RR
Rhode Island
(10/20/2011)
RR
South Carolina
(7/30/2014)
RR
South Dakota
(7/30/2014)
RR
Tennessee
(7/30/2014)
RR
Texas
(7/30/2014)
RR
Utah
(7/30/2014)
RR
Vermont
(7/30/2014)
RR
Virgin Islands
(7/30/2014)
RR
Virginia
(10/20/2011)
RR
Washington
(7/30/2014)
RR
West Virginia
(10/20/2011)
RR
Wisconsin
(7/30/2014)
RR
Wyoming
(7/30/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2007
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 7
Date: 11/13/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/3/2009
General Securities Sales Supervisor - General Module Examination
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)
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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
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BLACKROCK FINANCIAL MANAGEMENT, INCSOLE SHAREHOLDER107105
DEVICO, JOSEPH GEORGEMANAGER2808563
HEROLD, MEREDITH LMANAGER4792340
MARCUS, ZACHARY SETHCHIEF FINANCIAL OFFICER AND FINOP7040433
MARO, JONATHAN MARTINCHIEF EXECUTIVE OFFICER AND MANAGER6476640
MEADE, CHRISTOPHER JOSEPHCHIEF LEGAL OFFICER6728448
ROHE, DOMINIKMANAGER3275040
ROSTA, GREGORY MATTHEWCHIEF COMPLIANCE OFFICER5193482
RZOMP, CYNTHIA SUEN-WAHCHIEF OPERATING OFFICER5221316
VILLACORTA, ROLAND ESTEBANMANAGER2566073

Disclosures

Regulatory Event2
Arbitration1

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 INVESTMENTS, LLC

CRD#: 38642New York, NY 10001

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