AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MR

Marc J. Rosenberg

STONEHAVEN
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1199910
MR

Professional summary

Marc Julian Rosenberg, who also goes by Marc Julian Rosenberg, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Marc is registered as a RR (Registered Representative) and started their career in finance in 1983. Marc has worked at 13 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7, Series 22 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marc Julian Rosenberg

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Julian Rosenberg'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

October 23, 2020 - Present

STONEHAVEN, LLC

Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020
BD
CRD#: 118913
NEW YORK, NY
Past

January 18, 2006 - February 8, 2021

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

April 19, 2004 - December 31, 2005

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

December 4, 2003 - April 21, 2004

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

September 28, 2000 - January 7, 2004

DONALDSON & CO., INCORPORATED

BD
CRD#: 15404
ATLANTA, GA
Past

March 2, 1998 - August 29, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 11, 1994 - March 9, 1998

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA
Past

June 10, 1991 - June 24, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 26, 1990 - April 23, 1991

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

July 31, 1987 - July 17, 1990

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 20, 1987 - July 25, 1987

MACKENZIE SECURITIES BROKERAGE CO.

BD
CRD#: 10618
Past

February 27, 1985 - July 22, 1987

TERRANOMICS SECURITIES CORPORATION

BD
CRD#: 15972
Past

December 12, 1983 - January 1, 1985

ALDA SECURITIES, INC.

BD
CRD#: 14240

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
Alaska
(11/16/2020)
RR
Arizona
(11/13/2020)
RR
California
(10/26/2020)
RR
Colorado
(11/18/2020)
RR
Florida
(3/7/2022)
RR
Georgia
(11/12/2020)
RR
Maine
(11/16/2020)
RR
Massachusetts
(1/3/2025)
RR
Michigan
(3/15/2021)
RR
Minnesota
(2/11/2021)
RR
Nevada
(3/11/2021)
RR
New Hampshire
(1/2/2025)
RR
New Jersey
(11/14/2020)
RR
New York
(3/10/2022)
RR
North Carolina
(1/2/2025)
RR
Ohio
(10/26/2020)
RR
Oklahoma
(1/6/2025)
RR
Oregon
(1/10/2022)
RR
Pennsylvania
(11/19/2020)
RR
Texas
(10/30/2020)
RR
Utah
(11/19/2020)
RR
Washington
(3/4/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/8/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/17/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/4/1983
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/30/1983
Direct Participation Programs Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SL
STONEHAVEN, LLC
STONEHAVEN, LLC

CRD#: 118913 / SEC#: , 8-53699

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 Fifth Avenue 2nd Floor, New York, NY 10020
Mailing Address
600 Fifth Avenue 2nd Floor, New York, NY 10020
Phone number
(917) 349-7050
Established
Delaware since 10/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEHAVEN HOLDINGS LLCSOLE MEMBER OF STONEHAVEN LLC
FRANK, DAVID THOMASCEO3256230
JAFARZADEH, STEVEN ERICCCO2994968
SULLIVAN, MARK JOSEPHCGO2925479

Disclosures

Regulatory Event1

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.

Company Information

STONEHAVEN, LLC

CRD#: 118913New York, NY 10020

TRUST BUT VERIFY

Monitor Marc Rosenberg

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics