DS
David A. Shimokawa
BLACKROCK INVESTMENT MANAGEMENT
Princeton, NJ 08540
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CRD#: 5802758
DS
Professional summary
David Allen Shimokawa is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Princeton, New Jersey and BLACKROCK INVESTMENTS, LLC located in Princeton, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. David has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Happy Hollow Club; Country Club; Board of Directors; Serve on the Board of Directors to guide club business and planning; 1 hour hrs/month; Start Date:01-30-2024
CRS (Client Relationship Summary) - RIA
Click below to view David Allen Shimokawa'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®
NoneExperience
Current
September 13, 2021 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 1 University Square Drive, Princeton, NJ 08540RIA
CRD#: 108928
Princeton, NJ
Current
May 25, 2017 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 1 University Square Dr, Princeton, NJ 08540BD
CRD#: 38642
Princeton, NJ
Past
December 16, 2010 - May 23, 2017
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
October 8, 2010 - January 25, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
LAGRANGE, IL
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".
BI
BLACKROCK INVESTMENT MANAGEMENT, LLC
BLACKROCK INVESTMENT MANAGEMENT LLC | QA ADVISERS LLC | MERRILL LYNCH QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-ALTERNATIVE STRATEGIES | MERRILL LYNCH INVESTMENT MANAGERS, LLC | MERRILL LYNCH INVESTMENT MANAGERS - FIXED INCOME | MERRILL LYNCH GLOBAL SECURITIES FINANCING | 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.
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(7/1/2021)
RR
Alaska(7/1/2021)
RR
Arizona(7/1/2021)
RR
Arkansas(7/1/2021)
RR
California(7/1/2021)
RR
Colorado(7/1/2021)
RR
Connecticut(7/1/2021)
RR
Delaware(7/1/2021)
RR
District of Columbia(7/1/2021)
RR
Florida(7/1/2021)
RR
Georgia(7/1/2021)
RR
Hawaii(7/1/2021)
RR
Idaho(7/1/2021)
RR
Illinois(5/25/2017)
RR
Indiana(7/1/2021)
RR
Iowa(5/25/2017)
RR
Kansas(7/1/2021)
RR
Kentucky(7/1/2021)
RR
Louisiana(7/1/2021)
RR
Maine(7/1/2021)
RR
Maryland(7/1/2021)
RR
Massachusetts(7/1/2021)
RR
Michigan(7/1/2021)
RR
Minnesota(7/1/2021)
RR
Mississippi(7/1/2021)
RR
Missouri(7/1/2021)
RR
Montana(7/1/2021)
RR
Nebraska(5/25/2017)
IAR
Nebraska(9/15/2021)
RR
Nevada(7/1/2021)
RR
New Hampshire(7/1/2021)
RR
New Jersey(5/25/2017)
IAR
New Jersey(9/13/2021)
RR
New Mexico(7/1/2021)
RR
New York(5/25/2017)
RR
North Carolina(7/1/2021)
RR
North Dakota(7/1/2021)
RR
Ohio(7/1/2021)
RR
Oklahoma(7/1/2021)
RR
Oregon(7/1/2021)
RR
Pennsylvania(7/1/2021)
RR
Puerto Rico(3/18/2024)
RR
Rhode Island(7/1/2021)
RR
South Carolina(7/1/2021)
RR
South Dakota(5/25/2017)
RR
Tennessee(2/28/2023)
RR
Texas(7/1/2021)
RR
Utah(7/1/2021)
RR
Vermont(7/1/2021)
RR
Virgin Islands(3/18/2024)
RR
Virginia(7/1/2021)
RR
Washington(7/1/2021)
RR
West Virginia(7/1/2021)
RR
Wisconsin(7/1/2021)
RR
Wyoming(7/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BI
BLACKROCK INVESTMENT MANAGEMENT, LLC
BLACKROCK INVESTMENT MANAGEMENT LLC | QA ADVISERS LLC | MERRILL LYNCH QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-QUANTITATIVE ADVISERS | MERRILL LYNCH INVESTMENT MANAGERS-ALTERNATIVE STRATEGIES | MERRILL LYNCH INVESTMENT MANAGERS, LLC | MERRILL LYNCH INVESTMENT MANAGERS - FIXED INCOME | MERRILL LYNCH GLOBAL SECURITIES FINANCING | BLACKROCK INVESTMENT MANAGEMENT, LLC
CRD#: 108928 / SEC#: 801-56972
RIA
Registered Investment Advisory firm - (11/9/1999 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 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 INVESTMENT MANAGEMENT, LLC
CRD#: 108928Princeton, NJ 08540TRUST BUT VERIFY
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