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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Khari Edward Smith

Advisor at BLACKROCK INVESTMENT MANAGEMENT, LLC

Charlotte, NC | PRINCETON, NJ

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Search this name across graphsid dfx:ria:9c81e61e-a7ca-eb33-3a53-76b0edf3498c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 25, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BLACKROCK INVESTMENT MANAGEMENT, LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 27, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66|S65
First exam: Dec 27, 2000
First registration: Sep 25, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4317969

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BLACKROCK INVESTMENT MANAGEMENT, LLC	Asset manager	Jun 1, 2023	n/a	yes	Charlotte, NC\|PRINCETON, NJ	Current employment
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Jan 16, 2021	Feb 22, 2023	no	CHICAGO, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 18, 2012	Oct 21, 2014	no	CHARLOTTE, NC	Previous registration
NATIONWIDE SECURITIES, LLC	No RAUM reported	Jun 14, 2011	Sep 11, 2012	no	COLUMBUS, OH	Previous registration
NORTHERN TRUST SECURITIES, INC	Bd affiliated wealth	Sep 25, 2006	Dec 31, 2009	no	FORT WASHINGTON, PA\|WEST PALM BEACH, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NUVEEN ASSET MANAGEMENT, LLC	BLACKROCK INVESTMENT MANAGEMENT, LLC	Feb 22, 2023	Jun 1, 2023	99	Firm change	Other
WELLS FARGO ADVISORS	NUVEEN ASSET MANAGEMENT, LLC	Oct 21, 2014	Jan 16, 2021	2,279	Firm change after gap	Wirehouse to RIA
NATIONWIDE SECURITIES, LLC	WELLS FARGO ADVISORS	Sep 11, 2012	Dec 18, 2012	98	Firm change	Other
NORTHERN TRUST SECURITIES, INC	NATIONWIDE SECURITIES, LLC	Dec 31, 2009	Jun 14, 2011	530	Firm change after gap	Other

Relationships

Registered with (5)

→ BLACKROCK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
Jun 1, 2023 to presentfactForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 16, 2021 to Feb 22, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 18, 2012 to Oct 21, 2014factForm ADV
→ NATIONWIDE SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 14, 2011 to Sep 11, 2012factForm ADV
→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: previous registration
Sep 25, 2006 to Dec 31, 2009factForm ADV

Dated events

Occurred
Feb 22, 2023
Advisor changed firm
Khari Edward Smith left Nuveen Asset Management, Llc for Blackrock Investment Management, Llc (registered 2023-06-01)
Form ADVobserved 4 days ago