RS
Richard C. Smith
BLACKROCK INVESTMENT MANAGEMENT
Washington DC, DC 20005
Some features on this profile are disabled
CRD#: 6153915
RS
Professional summary
Richard Clarke Smith, who also goes by Richard Clarke Smith, Richard C Smith, is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Washington Dc, District Of Columbia and BLACKROCK INVESTMENTS, LLC located in Washington Dc, District Of Columbia.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Clarke Smith | Richard C Smith
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 Richard Clarke Smith'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
October 3, 2025 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 1401 New York Avenue N.w. 3rd Floor, Washington Dc, DC 20005RIA
CRD#: 108928
Washington DC, DC
Current
September 12, 2025 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 1401 New York Avenue N.w. 3rd Floor, Washington Dc, DC 20005BD
CRD#: 38642
Washington Dc, DC
Past
April 15, 2024 - August 6, 2025
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
March 6, 2014 - April 14, 2022
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
June 13, 2013 - February 24, 2014
STEBEN & COMPANY, LLC
BD
CRD#: 117808
GAITHERSBURG, MD
Past
April 16, 2013 - June 10, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FULTON, MD
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(9/17/2025)
RR
Alaska(9/17/2025)
RR
Arizona(9/19/2025)
RR
Arkansas(9/25/2025)
RR
California(9/12/2025)
RR
Colorado(9/17/2025)
RR
Connecticut(9/12/2025)
RR
Delaware(9/17/2025)
RR
District of Columbia(9/18/2025)
RR
Florida(9/12/2025)
RR
Georgia(9/15/2025)
RR
Hawaii(9/25/2025)
RR
Idaho(9/12/2025)
RR
Illinois(9/12/2025)
RR
Indiana(9/23/2025)
RR
Iowa(9/22/2025)
RR
Kansas(9/12/2025)
RR
Kentucky(9/12/2025)
RR
Louisiana(9/17/2025)
RR
Maine(9/17/2025)
RR
Maryland(9/16/2025)
RR
Massachusetts(9/15/2025)
RR
Michigan(9/12/2025)
RR
Minnesota(9/12/2025)
RR
Mississippi(9/12/2025)
RR
Missouri(9/15/2025)
RR
Montana(9/12/2025)
RR
Nebraska(9/12/2025)
RR
Nevada(9/17/2025)
RR
New Hampshire(10/3/2025)
RR
New Jersey(9/12/2025)
IAR
New Jersey(10/3/2025)
RR
New Mexico(9/15/2025)
RR
New York(9/21/2025)
RR
North Carolina(9/17/2025)
RR
North Dakota(9/18/2025)
RR
Ohio(9/12/2025)
RR
Oklahoma(9/12/2025)
RR
Oregon(9/16/2025)
RR
Pennsylvania(9/15/2025)
RR
Puerto Rico(9/19/2025)
RR
Rhode Island(9/17/2025)
RR
South Carolina(9/12/2025)
RR
South Dakota(9/12/2025)
RR
Tennessee(9/19/2025)
RR
Texas(9/12/2025)
RR
Utah(9/12/2025)
RR
Vermont(9/16/2025)
RR
Virgin Islands(9/19/2025)
RR
Virginia(9/16/2025)
RR
Washington(9/12/2025)
RR
West Virginia(9/22/2025)
RR
Wisconsin(9/12/2025)
RR
Wyoming(9/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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.
