LL
Lily Liu
BLACKROCK INVESTMENT MANAGEMENT
SANTA MONICA, CA 90405
Some features on this profile are disabled
CRD#: 6386043
LL
Professional summary
Lily Liu is a registered financial advisor currently at BLACKROCK INVESTMENT MANAGEMENT, LLC located in Santa Monica, California and BLACKROCK INVESTMENTS, LLC located in Santa Monica, California.
Lily is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Lily has worked at 3 firms and has passed the Series 66, Series 3, 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.
(1) One Million Degrees (Chicago, IL); Associate Board Member; Non-investment related, No financial advice provided; No control over finances; Nonprofit that provides comprehensive support to community college students in Chicago; Role: Outreach, event planning, and fundraising; Start Date: 10/10/2019; 2 hours per month devoted to activity. (2) Spark Ventures; Nonprofit that partners with projects focused on education nutrition and healthcare; Associate Board Member; Fundraising and event planning; 1 hr / month; Start Date: 09-23-2019
CRS (Client Relationship Summary) - RIA
Click below to view Lily Liu'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
March 22, 2018 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 2951 28th Street Suite 1000, Santa Monica, CA 90405RIA
CRD#: 108928
SANTA MONICA, CA
Current
March 22, 2018 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 2951 28th Street Suite 1000, Santa Monica, CA 90405BD
CRD#: 38642
Santa Monica, CA
Past
September 15, 2015 - February 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
April 7, 2015 - February 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, 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(10/5/2023)
RR
Alaska(4/8/2020)
RR
Arizona(4/8/2020)
RR
Arkansas(10/5/2023)
RR
California(4/8/2020)
IAR
California(6/18/2020)
RR
Colorado(4/8/2020)
RR
Connecticut(10/5/2023)
RR
Delaware(10/5/2023)
RR
District of Columbia(10/5/2023)
RR
Florida(5/11/2018)
RR
Georgia(10/5/2023)
RR
Hawaii(4/8/2020)
RR
Idaho(4/8/2020)
RR
Illinois(3/22/2018)
RR
Indiana(5/11/2018)
RR
Iowa(5/11/2018)
RR
Kansas(10/5/2023)
RR
Kentucky(5/11/2018)
RR
Louisiana(10/5/2023)
RR
Maine(10/5/2023)
RR
Maryland(10/5/2023)
RR
Massachusetts(10/5/2023)
RR
Michigan(3/22/2018)
RR
Minnesota(10/5/2023)
RR
Mississippi(10/5/2023)
RR
Missouri(10/5/2023)
RR
Montana(4/8/2020)
RR
Nebraska(5/11/2018)
RR
Nevada(4/8/2020)
RR
New Hampshire(10/5/2023)
RR
New Jersey(3/22/2018)
IAR
New Jersey(3/28/2018)
RR
New Mexico(4/8/2020)
RR
New York(5/11/2018)
RR
North Carolina(5/11/2018)
RR
North Dakota(10/5/2023)
RR
Ohio(5/11/2018)
RR
Oklahoma(10/5/2023)
RR
Oregon(4/8/2020)
RR
Pennsylvania(5/11/2018)
RR
Puerto Rico(11/6/2020)
RR
Rhode Island(10/5/2023)
RR
South Carolina(10/5/2023)
RR
South Dakota(5/11/2018)
RR
Tennessee(10/5/2023)
RR
Texas(4/8/2020)
RR
Utah(4/8/2020)
RR
Vermont(10/5/2023)
RR
Virgin Islands(10/5/2023)
RR
Virginia(10/5/2023)
RR
Washington(4/8/2020)
RR
West Virginia(10/5/2023)
RR
Wisconsin(5/11/2018)
RR
Wyoming(4/8/2020)
Exams
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
Registered Investment Advisory firm - (11/9/1999 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
