SW
Stephen M. Witthuhn
BLACKROCK INVESTMENT MANAGEMENT
New York, NY 10001
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CRD#: 6303269
SW
Professional summary
Stephen Michael Witthuhn, who also goes by Stephen Witthuhn, is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in New York, New York and BLACKROCK INVESTMENTS, LLC located in New York, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Stephen has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Witthuhn
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.
Friends Academy (Glen Cove, NY). Private School Member of the Board of Trustees. The board provides overall oversight of the school (preschool through 12th grade school on Long Island) through various committees and through guidance and accountability for Head of School and school's leadership group. The Board of Trustees is responsible for reviewing and approving the school's operating budget, including draws from the school's endowment that help fund that budget. 5-10 hours per month devoted to entity. 2. SpiderRock Advisors ("SRA"), non-Investment related, Asset manager focused on delivering options overlay strategies for wealth separate accounts. BlackRock will be entering into a partnership with SRA whereby BLK will be taking an equity stake in the company and serving as the primary solicitor for their products, which will be delivered in the context of our broader wealth separate account offerings Board observer - one of two board seats (one official - Venu Krishnamurthy - plus one observer) that we will secure as part of our partnership I will participate in all board meetings and provide perspective on company distribution and product strategy, risk oversight and technological development progress (against a roadmap jointly agreed by BLK and SRA in conjunction with our partnership) and internal firm operations. I will be a non-voting board observer; we will have a voting seat which will be held by Venu Krishnamurthy. There will be 5 board seats plus my observer seat Formal board commitment to be determined; as part of my core role responsibilities with BlackRock, I have been and will continue to spend a meaningful portion of my time and my team's time to the activation and success of this partnership.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Witthuhn'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 25, 2015 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 50 Hudson Yards, New York, NY 10001RIA
CRD#: 108928
New York, NY
Current
June 4, 2015 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 50 Hudson Yards, New York, NY 10001BD
CRD#: 38642
New York, NY
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
New Jersey(6/5/2015)
IAR
New Jersey(8/25/2015)
RR
New York(8/24/2015)
IAR
New York(8/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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