Andrew J. Brack

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CRD#: 5465527

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.

Andrew James Brack, who also goes by Aj Brack, Andrew Brack, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2009. Andrew had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aj Brack | Andrew Brack

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.

OWNER OF SOUTHPAW 9 LLC. IT IS A NON-INVESTMENT RELATED BUSINESS. THE ADDRESS IS 446 MONMOUTH ROAD, CLARKSBURG, NJ 08510. HAVE BEEN CONDUCTING BASEBALL CLASSES/LESSONS FOR OVER 10 YEARS FROM 1996-PRESENTLY. I DEVOTE HOURS TO THIS DISCIPLINE IN THE EVENING AFTER SECURITY TRADING HOURS. AVERAGE AN ADDITIONAL 4-6 HOURS A WEEK IN THE EVENING CONDUCTING THE BASEBALL LESSONS. I WORK WITH YOUTHS TO ASPIRING HIGHSCHOOL ATHLETES IN BECOMING BETTER IN THE GAME OF BASEBALL IN ALL ASPECTS.

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

May 3, 2011 - April 26, 2022

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PRINCETON, NJ

Past

May 3, 2011 - April 26, 2022

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

September 1, 2009 - April 20, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WILMINGTON, DE

Past

March 24, 2009 - April 20, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WILMINGTON, DE

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.

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: 8/31/2009

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: 3/23/2009

General Securities Representative Examination

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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Firm Stability Insights

Andrew J. Brack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

BLACKROCK INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2009

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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