RS
Rachel M. Swarts
BLACKROCK INVESTMENT MANAGEMENT
New York, NY 10001
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CRD#: 6855502
RS
Professional summary
Rachel Marie Swarts Ms., who also goes by Rachel Swarts, 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.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Rachel has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachel Swarts
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 Rachel Marie Swarts Ms.'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 7, 2017 - Present
BLACKROCK INVESTMENT MANAGEMENT, LLC
Office #1: 50 Hudson Yards, New York, NY 10001RIA
CRD#: 108928
New York, NY
Current
October 3, 2017 - 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
Alabama(1/24/2020)
RR
Alaska(1/24/2020)
RR
Arizona(4/19/2018)
RR
Arkansas(4/19/2018)
RR
California(12/4/2017)
RR
Colorado(4/19/2018)
RR
Connecticut(4/19/2018)
RR
Delaware(4/19/2018)
RR
District of Columbia(4/19/2018)
RR
Florida(4/19/2018)
RR
Georgia(4/19/2018)
RR
Hawaii(1/24/2020)
RR
Idaho(1/24/2020)
RR
Illinois(4/19/2018)
RR
Indiana(1/24/2020)
RR
Iowa(1/24/2020)
RR
Kansas(1/24/2020)
RR
Kentucky(1/24/2020)
RR
Louisiana(4/19/2018)
RR
Maine(1/24/2020)
RR
Maryland(4/19/2018)
RR
Massachusetts(4/19/2018)
RR
Michigan(1/24/2020)
RR
Minnesota(4/19/2018)
RR
Mississippi(1/24/2020)
RR
Missouri(4/19/2018)
RR
Montana(1/24/2020)
RR
Nebraska(1/24/2020)
RR
Nevada(1/24/2020)
RR
New Hampshire(1/24/2020)
RR
New Jersey(12/4/2017)
IAR
New Jersey(12/7/2017)
RR
New Mexico(1/24/2020)
RR
New York(12/4/2017)
IAR
New York(8/6/2021)
RR
North Carolina(4/19/2018)
RR
North Dakota(1/24/2020)
RR
Ohio(4/19/2018)
RR
Oklahoma(1/24/2020)
RR
Oregon(4/19/2018)
RR
Pennsylvania(4/19/2018)
RR
Puerto Rico(1/24/2020)
RR
Rhode Island(1/24/2020)
RR
South Carolina(4/19/2018)
RR
South Dakota(1/24/2020)
RR
Tennessee(1/24/2020)
RR
Texas(4/19/2018)
RR
Utah(1/24/2020)
RR
Vermont(1/24/2020)
RR
Virgin Islands(1/24/2020)
RR
Virginia(4/19/2018)
RR
Washington(4/19/2018)
RR
West Virginia(1/24/2020)
RR
Wisconsin(1/24/2020)
RR
Wyoming(1/24/2020)
Exams
State Security Law 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.
