James Patrick Allen Iv
Professional Summary
James Patrick Allen IV, who also goes by Jay Allen, is a registered financial advisor currently at STONEHAVEN, LLC located in New York, New York. James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 3 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jay Allen
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
STONEHAVEN, LLC
Contact Information
Main Address
600 Fifth Avenue 2nd Floor, New York, NY 10020Mailing Address
600 Fifth Avenue 2nd Floor, New York, NY 10020Phone Number
(917) 349-7050Established
Delaware since 10/12/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(3/1/2022)
(8/31/2022)
(1/26/2022)
(2/24/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1996SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Patrick Allen IV's CRS (Customer Relationship Summary).
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