KR
Kevin M. Rafferty
BLACKROCK INVESTMENT MANAGEMENT
CHICAGO, IL 60606
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CRD#: 5884911
KR
Professional summary
Kevin Mckeen Rafferty is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Chicago, Illinois and BLACKROCK INVESTMENTS, LLC located in Chicago, Illinois.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kevin has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Mckeen Rafferty'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 3, 2024 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 227 W. Monroe Street, Chicago, IL 60606RIA
CRD#: 108928
CHICAGO, IL
Current
September 3, 2024 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 227 W. Monroe Street Suite 4300, Chicago, IL 60606BD
CRD#: 38642
CHICAGO, IL
Past
October 26, 2023 - June 18, 2024
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Lisle, IL
Past
October 25, 2022 - June 30, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
May 16, 2014 - June 21, 2022
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
CHICAGO, IL
Past
January 2, 2014 - May 9, 2014
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
GENEVA, IL
Past
December 14, 2011 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
BD
CRD#: 8509
GENEVA, 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(9/3/2024)
RR
Alaska(9/3/2024)
RR
Arizona(9/3/2024)
RR
Arkansas(9/3/2024)
RR
California(9/3/2024)
RR
Colorado(9/3/2024)
RR
Connecticut(9/3/2024)
RR
Delaware(9/3/2024)
RR
District of Columbia(9/3/2024)
RR
Florida(9/3/2024)
RR
Georgia(9/3/2024)
RR
Hawaii(9/3/2024)
RR
Idaho(9/3/2024)
RR
Illinois(9/3/2024)
IAR
Illinois(9/3/2024)
RR
Indiana(9/3/2024)
RR
Iowa(9/3/2024)
RR
Kansas(9/3/2024)
RR
Kentucky(9/3/2024)
RR
Louisiana(9/3/2024)
RR
Maine(9/3/2024)
RR
Maryland(9/3/2024)
RR
Massachusetts(9/3/2024)
RR
Michigan(9/3/2024)
RR
Minnesota(9/3/2024)
RR
Mississippi(9/3/2024)
RR
Missouri(9/3/2024)
RR
Montana(9/3/2024)
RR
Nebraska(9/3/2024)
RR
Nevada(9/3/2024)
RR
New Hampshire(9/3/2024)
RR
New Jersey(9/3/2024)
IAR
New Jersey(9/3/2024)
RR
New Mexico(9/3/2024)
RR
New York(9/3/2024)
RR
North Carolina(9/3/2024)
RR
North Dakota(9/3/2024)
RR
Ohio(9/3/2024)
RR
Oklahoma(9/3/2024)
RR
Oregon(9/3/2024)
RR
Pennsylvania(9/3/2024)
RR
Puerto Rico(9/3/2024)
RR
Rhode Island(9/3/2024)
RR
South Carolina(9/3/2024)
RR
South Dakota(9/3/2024)
RR
Tennessee(9/3/2024)
RR
Texas(9/3/2024)
RR
Utah(9/3/2024)
RR
Vermont(9/3/2024)
RR
Virgin Islands(9/3/2024)
RR
Virginia(9/3/2024)
RR
Washington(9/3/2024)
RR
West Virginia(9/3/2024)
RR
Wisconsin(9/3/2024)
RR
Wyoming(9/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
