NB
Nawon Baek
BLACKROCK INVESTMENTS
NEW YORK, NY 10001
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CRD#: 6508776
NB
Nawon BaekBLACKROCK INVESTMENTS
Professional summary
Nawon Baek, who also goes by Courtnie Baek, is a registered financial professional currently at BLACKROCK INVESTMENTS, LLC located in New York, New York.
Nawon is registered as a RR (Registered Representative) and started their career in finance in 2018. Nawon has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Aliases
Courtnie Baek
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 Nawon Baek'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
December 11, 2023 - Present
BLACKROCK INVESTMENTS, LLC
Office #1: 50 Hudson Yards, New York, NY 10001BD
CRD#: 38642
NEW YORK, NY
Past
June 8, 2022 - September 29, 2022
INDEPENDENT BROKERAGE SOLUTIONS LLC
BD
CRD#: 153563
NEW YORK, NY
Past
May 10, 2019 - March 1, 2021
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
August 13, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(12/11/2023)
RR
Alaska(12/11/2023)
RR
Arizona(12/11/2023)
RR
Arkansas(12/11/2023)
RR
California(12/11/2023)
RR
Colorado(12/11/2023)
RR
Connecticut(12/11/2023)
RR
Delaware(12/11/2023)
RR
District of Columbia(12/11/2023)
RR
Florida(12/11/2023)
RR
Georgia(12/11/2023)
RR
Hawaii(12/11/2023)
RR
Idaho(12/11/2023)
RR
Illinois(12/11/2023)
RR
Indiana(12/11/2023)
RR
Iowa(12/11/2023)
RR
Kansas(12/11/2023)
RR
Kentucky(12/11/2023)
RR
Louisiana(12/11/2023)
RR
Maine(12/11/2023)
RR
Maryland(12/11/2023)
RR
Massachusetts(12/11/2023)
RR
Michigan(12/11/2023)
RR
Minnesota(12/11/2023)
RR
Mississippi(12/11/2023)
RR
Missouri(12/11/2023)
RR
Montana(12/11/2023)
RR
Nebraska(12/11/2023)
RR
Nevada(12/11/2023)
RR
New Hampshire(12/11/2023)
RR
New Jersey(12/11/2023)
RR
New Mexico(12/11/2023)
RR
New York(12/11/2023)
RR
North Carolina(12/11/2023)
RR
North Dakota(12/11/2023)
RR
Ohio(12/14/2023)
RR
Oklahoma(12/11/2023)
RR
Oregon(12/11/2023)
RR
Pennsylvania(12/11/2023)
RR
Puerto Rico(12/11/2023)
RR
Rhode Island(12/11/2023)
RR
South Carolina(12/11/2023)
RR
South Dakota(12/11/2023)
RR
Tennessee(12/11/2023)
RR
Texas(12/11/2023)
RR
Utah(12/11/2023)
RR
Vermont(12/11/2023)
RR
Virgin Islands(12/11/2023)
RR
Virginia(12/11/2023)
RR
Washington(12/11/2023)
RR
West Virginia(12/11/2023)
RR
Wisconsin(12/11/2023)
RR
Wyoming(12/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2024
General Securities Representative ExaminationGeneral 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 |
| CONRAD, JESSICA KATHRYN | MANAGER | 7402965 |
| 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 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| TERRY, ELISE MARIE | MANAGER | 4042345 |
| 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.
