CB
Caroline F. Briody
BLACKROCK INVESTMENTS
New York, NY 10001
Some features on this profile are disabled
CRD#: 5943082
CB
Professional summary
Caroline Frances Briody, who also goes by Caroline Briody, Caroline Frances Zrike, is a registered financial professional currently at BLACKROCK INVESTMENTS, LLC located in New York, New York.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 2013. Caroline has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caroline Briody | Caroline Frances Zrike
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) - BD
Click below to view Caroline Frances Briody'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
August 15, 2018 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 50 Hudson Yards, New York, NY 10001BD
CRD#: 38642
New York, NY
Past
August 27, 2013 - July 17, 2018
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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(8/15/2018)
RR
Alaska(8/15/2018)
RR
Arizona(8/15/2018)
RR
Arkansas(8/15/2018)
RR
California(8/15/2018)
RR
Colorado(8/15/2018)
RR
Connecticut(8/15/2018)
RR
Delaware(8/15/2018)
RR
District of Columbia(8/15/2018)
RR
Florida(8/15/2018)
RR
Georgia(8/15/2018)
RR
Hawaii(8/15/2018)
RR
Idaho(8/15/2018)
RR
Illinois(8/15/2018)
RR
Indiana(8/15/2018)
RR
Iowa(8/15/2018)
RR
Kansas(8/15/2018)
RR
Kentucky(8/15/2018)
RR
Louisiana(8/15/2018)
RR
Maine(8/15/2018)
RR
Maryland(8/15/2018)
RR
Massachusetts(8/15/2018)
RR
Michigan(8/15/2018)
RR
Minnesota(8/15/2018)
RR
Mississippi(8/15/2018)
RR
Missouri(8/15/2018)
RR
Montana(8/15/2018)
RR
Nebraska(8/15/2018)
RR
Nevada(8/15/2018)
RR
New Hampshire(8/15/2018)
RR
New Jersey(8/15/2018)
RR
New Mexico(8/15/2018)
RR
New York(8/15/2018)
RR
North Carolina(8/15/2018)
RR
North Dakota(8/15/2018)
RR
Ohio(8/15/2018)
RR
Oklahoma(8/15/2018)
RR
Oregon(8/15/2018)
RR
Pennsylvania(8/15/2018)
RR
Puerto Rico(8/15/2018)
RR
Rhode Island(8/15/2018)
RR
South Carolina(8/15/2018)
RR
South Dakota(8/15/2018)
RR
Tennessee(12/3/2024)
RR
Texas(8/15/2018)
RR
Utah(8/15/2018)
RR
Vermont(8/15/2018)
RR
Virgin Islands(8/15/2018)
RR
Virginia(8/15/2018)
RR
Washington(8/15/2018)
RR
West Virginia(8/15/2018)
RR
Wisconsin(8/15/2018)
RR
Wyoming(8/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
