JC
James A. Caffarello
BLACKROCK FINANCIAL MANAGEMENT,
Boston, MA 02109
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CRD#: 5599386
JC
Professional summary
James Arthur Caffarello MR., CIMA®, who also goes by James Arthur Caffarello, is a registered financial advisor currently at BLACKROCK FINANCIAL MANAGEMENT, INC located in Boston, Massachusetts and BLACKROCK INVESTMENTS, LLC located in Boston, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Arthur Caffarello
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) - RIA
Click below to view James Arthur Caffarello MR.'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 14, 2011 - Present
BLACKROCK FINANCIAL MANAGEMENT, INC
Office #1: 60 State Street Suite 1350, Boston, MA 02109RIA
CRD#: 107105
Boston, MA
Current
October 6, 2008 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 60 State Street Floors 19 & 20, Boston, MA 02109BD
CRD#: 38642
BOSTON, MA
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".
BF
BLACKROCK FINANCIAL MANAGEMENT, INC
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(1/24/2020)
RR
Alaska(1/24/2020)
RR
Arizona(1/24/2020)
RR
Arkansas(1/24/2020)
RR
California(1/24/2020)
RR
Colorado(1/24/2020)
RR
Connecticut(1/24/2020)
RR
Delaware(2/25/2014)
RR
District of Columbia(1/24/2020)
RR
Florida(1/24/2020)
RR
Georgia(1/24/2020)
RR
Hawaii(1/24/2020)
RR
Idaho(1/24/2020)
RR
Illinois(1/24/2020)
RR
Indiana(1/24/2020)
RR
Iowa(1/24/2020)
RR
Kansas(1/24/2020)
RR
Kentucky(1/24/2020)
RR
Louisiana(1/24/2020)
RR
Maine(4/20/2018)
RR
Maryland(1/24/2020)
RR
Massachusetts(12/5/2016)
IAR
Massachusetts(12/20/2016)
RR
Michigan(1/24/2020)
RR
Minnesota(1/24/2020)
RR
Mississippi(1/24/2020)
RR
Missouri(1/24/2020)
RR
Montana(1/24/2020)
RR
Nebraska(1/24/2020)
RR
Nevada(1/24/2020)
RR
New Hampshire(4/20/2018)
RR
New Jersey(11/18/2008)
RR
New Mexico(1/24/2020)
RR
New York(2/16/2009)
IAR
New York(2/3/2022)
RR
North Carolina(1/24/2020)
RR
North Dakota(1/24/2020)
RR
Ohio(1/24/2020)
RR
Oklahoma(1/24/2020)
RR
Oregon(1/24/2020)
RR
Pennsylvania(2/25/2014)
RR
Puerto Rico(1/24/2020)
RR
Rhode Island(1/24/2020)
RR
South Carolina(1/24/2020)
RR
South Dakota(1/24/2020)
RR
Tennessee(1/24/2020)
RR
Texas(1/24/2020)
RR
Utah(1/24/2020)
RR
Vermont(4/20/2018)
RR
Virgin Islands(1/24/2020)
RR
Virginia(1/24/2020)
RR
Washington(1/24/2020)
RR
West Virginia(1/24/2020)
RR
Wisconsin(1/24/2020)
RR
Wyoming(1/24/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BLACKROCK FINANCIAL MANAGEMENT, INC
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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 10/24/2024 | ||
| 01/26/2024 |
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 FINANCIAL MANAGEMENT, INC
CRD#: 107105Boston, MA 02109TRUST BUT VERIFY
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