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JA

Jeffrey D. Appel

STONEHAVEN
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1399452
JA

Professional summary

Jeffrey Dale Appel, who also goes by Jeffrey D Appel, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1987. Jeffrey has worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey D Appel

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 Jeffrey Dale Appel'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

December 9, 2021 - Present

STONEHAVEN, LLC

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

March 15, 2018 - November 22, 2021

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

August 20, 2013 - April 5, 2016

BROADBAND CAPITAL MANAGEMENT, LLC

BD
CRD#: 48001
NEW YORK, NY
Past

July 19, 2011 - July 31, 2013

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

April 11, 2011 - June 21, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
NEW YORK, NY
Past

May 5, 2010 - February 15, 2011

TICONDEROGA SECURITIES LLC

BD
CRD#: 7671
NEW YORK, NY
Past

May 3, 2007 - April 7, 2010

BROADBAND CAPITAL MANAGEMENT, LLC

BD
CRD#: 48001
NEW YORK, NY
Past

September 16, 2005 - April 27, 2007

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

October 20, 2004 - August 18, 2005

EARLYBIRDCAPITAL, INC.

BD
CRD#: 28629
MELVILLE, NY
Past

November 23, 1998 - July 2, 1999

VECTOR SECURITIES INTERNATIONAL, INC.

BD
CRD#: 22010
NEW YORK, NY
Past

April 30, 1998 - July 2, 1998

BLOOM & COMPANY SECURITIES, INC.

BD
CRD#: 27042
Past

July 7, 1995 - October 30, 1995

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

December 8, 1992 - July 20, 1995

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 24, 1992 - August 6, 1992

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

March 28, 1991 - May 15, 1991

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 26, 1990 - October 24, 1990

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

August 18, 1987 - August 23, 1990

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

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
Alabama
(3/15/2024)
RR
California
(1/25/2022)
RR
Colorado
(9/27/2022)
RR
Connecticut
(1/28/2022)
RR
District of Columbia
(3/21/2022)
RR
Florida
(8/24/2022)
RR
Illinois
(9/20/2022)
RR
New Jersey
(9/9/2022)
RR
New York
(12/9/2021)
RR
Pennsylvania
(8/26/2022)
RR
Puerto Rico
(1/26/2022)
RR
Rhode Island
(2/2/2023)
RR
Texas
(9/8/2022)
RR
Washington
(2/28/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2004
General Securities Representative 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)
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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

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