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Richard Clarke Smith

Blackrock Investment Management, LLC

Princeton, NJ

Annapolis, MD

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Current Employers
Blackrock Investment Management, Llc

1 University Square Drive, Princeton, NJ 08540 • United States

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2025-12-03
NJ RA APPROVED 2025-10-03
  • DC RA
    APPROVED
    Since 2025-12-03
  • NJ RA
    APPROVED
    Since 2025-10-03

Branch Locations

1 University Square Drive, Princeton, NJ 08540 • United States

Annapolis, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Equity Fund Advisors Phoenix AZ 02/2014 02/2018
Cole Capital Corporation Phoenix AZ 02/2014 02/2018
Cco Capital, Llc. Phoenix AZ 02/2014 03/2022
Cco Staffing, Llc. Phoenix AZ 02/2018 03/2022
Nuveen Securities, Llc Annapolis MD 03/2024 Present
Coastal Ridge Real Estate Columbus OH 03/2022 03/2024
Blackrock Washington DC 08/2025 Present
Blackrock Investments, Llc Washington DC 08/2025 Present
  • 02/2014 → 02/2018
    Equity Fund Advisors
    Phoenix, AZ
  • 02/2014 → 02/2018
    Cole Capital Corporation
    Phoenix, AZ
  • 02/2014 → 03/2022
    Cco Capital, Llc.
    Phoenix, AZ
  • 02/2018 → 03/2022
    Cco Staffing, Llc.
    Phoenix, AZ
  • 03/2024 → Present
    Nuveen Securities, Llc
    Annapolis, MD
  • 03/2022 → 03/2024
    Coastal Ridge Real Estate
    Columbus, OH
  • 08/2025 → Present
    Blackrock
    Washington, DC
  • 08/2025 → Present
    Blackrock Investments, Llc
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-10-02
S63 Uniform Securities Agent State Law Examination 2024-05-24
  • S65 Uniform Investment Adviser Law Examination
    2025-10-02
  • S63 Uniform Securities Agent State Law Examination
    2024-05-24
Other Names
  • Richard Clarke Smith
  • Richard C Smith

View on SEC IAPD

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PNC WEALTH MANAGEMENT LLC
RBC CAPITAL MARKETS, LLC
WATERMARK GROUP, INC.
PRINCETON EQUITY GROUP
MERCATOR PARTNERS

Other Investors

DAVID WILLIAM SMITH
JOHN FRANCIS RYAN
ERICA DORAY SEREMETA
DUANE THOMAS LIEDL
MANUEL DAVID SEIDNER
RICHARD DALE WOLFE
MICHAEL JON HEILBRONN
ANGELA MARIE LIBRIZZI

Other Offices

SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
RBC CAPITAL MARKETS, LLC · Princeton, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ
MERCATOR PARTNERS · PRINCETON, NJ

More in Princeton, NJ

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