Calvin Yu

BLACKROCK FINANCIAL MANAGEMENT,

New York, NY 10001

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CRD#: 6563470

Professional summary

Calvin Yu is a registered financial advisor currently at BLACKROCK FINANCIAL MANAGEMENT, INC located in New York, New York and BLACKROCK INVESTMENTS, LLC located in New York, New York.

Calvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Calvin has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 3 and Series 24 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.

My wife and I bought an eyelash extension franchise in December 2018. As such, we formed an LLC ("TCY LLC dba Deka Lash"), where I'm a Managing Member. The business is focused on the application of eyelash extensions and is not investment related. The business will be located at 612 Washington Street, Hoboken, NJ, 07030. My wife will be managing the day to day operations of the franchise. I may help out occasionally on administrative matters, which I estimate to take approximately 2 hours a month. None of the time I devote to this business will be during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Calvin Yu's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 13, 2019 - Present

BLACKROCK FINANCIAL MANAGEMENT, INC

Office #1: 50 Hudson Yards, New York, NY 10001

RIA

CRD#: 107105

New York, NY

Current

November 11, 2019 - Present

BLACKROCK INVESTMENTS, LLC

Office #1: 50 Hudson Yards, New York, NY 10001

CRD#: 38642

New York, NY

Past

October 31, 2018 - December 11, 2018

QPLUM LLC

RIA

CRD#: 175479

JERSEY CITY, NJ

Past

December 3, 2015 - September 18, 2018

GOLDMAN SACHS & CO. LLC

CRD#: 361

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".

BLACKROCK FINANCIAL MANAGEMENT, INC

CRD#: 107105 / SEC#: 801-48433

RIA

Registered Investment Advisory firm - (2/28/1995 Approved)

Oklahoma

Registered Investment Advisory firm - (3/31/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(11/11/2019)

Alaska
(11/11/2019)

Arizona
(11/11/2019)

Arkansas
(11/11/2019)

California
(11/11/2019)

Colorado
(11/11/2019)

Connecticut
(11/11/2019)

Delaware
(11/11/2019)

District of Columbia
(11/11/2019)

Florida
(11/11/2019)

Georgia
(11/11/2019)

Hawaii
(11/11/2019)

Idaho
(11/11/2019)

Illinois
(11/11/2019)

Indiana
(11/11/2019)

Iowa
(11/11/2019)

Kansas
(11/11/2019)

Kentucky
(11/11/2019)

Louisiana
(11/11/2019)

Maine
(11/11/2019)

Maryland
(11/11/2019)

Massachusetts
(11/11/2019)

Michigan
(11/11/2019)

Minnesota
(11/11/2019)

Mississippi
(11/11/2019)

Missouri
(11/11/2019)

Montana
(11/11/2019)

Nebraska
(11/11/2019)

Nevada
(11/11/2019)

New Hampshire
(11/11/2019)

New Jersey
(11/11/2019)

IAR

New Jersey
(11/13/2019)

New Mexico
(11/11/2019)

New York
(11/11/2019)

IAR

New York
(8/6/2021)

North Carolina
(11/11/2019)

North Dakota
(11/11/2019)

Ohio
(11/11/2019)

Oklahoma
(11/11/2019)

Oregon
(11/11/2019)

Pennsylvania
(11/11/2019)

Puerto Rico
(11/11/2019)

Rhode Island
(11/11/2019)

South Carolina
(11/11/2019)

South Dakota
(11/11/2019)

Tennessee
(11/11/2019)

Texas
(11/11/2019)

Utah
(11/11/2019)

Vermont
(11/11/2019)

Virgin Islands
(11/11/2019)

Virginia
(11/11/2019)

Washington
(11/11/2019)

West Virginia
(11/11/2019)

Wisconsin
(11/11/2019)

Wyoming
(11/11/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/17/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 9/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2015

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/9/2012

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BLACKROCK FINANCIAL MANAGEMENT, INC

CRD#: 107105 / SEC#: 801-48433

RIA

Registered Investment Advisory firm - (2/28/1995 Approved)

Oklahoma

Registered Investment Advisory firm - (3/31/2006 Terminated)

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Contact information

Main Address

50 Hudson Yards, New York, NY 10001

Mailing Address

Phone number

(212) 810-5300

Established

Firm type

Fiscal year end

# of Employees

7,410

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLACKROCK FINANCIAL MANAGEMENT, INC. - BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	2,269
AUM (Assets Under Management)	$ 1,327,868,750,254

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
10/24/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Calvin Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Calvin Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

QPLUM LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

BLACKROCK FINANCIAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2019

Series 63

Date: 12/17/2015

Series 57TO

Date: 1/2/2023

SIE

Date: 9/18/2018

Series 7

Date: 12/3/2015

Series 3

Date: 7/9/2012

Series 24

Date: 6/6/2022

FINRA

Current Firm

BLACKROCK FINANCIAL MANAGEMENT, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BLACKROCK FINANCIAL MANAGEMENT, INC

TRUST BUT VERIFY

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