James P. Allen
Professional summary
James Patrick Allen IV, who also goes by Jay Allen, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Allen IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2022 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020April 12, 2017 - November 12, 2021
WEILD & CO.
September 24, 1986 - August 5, 2016
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2022)
(8/31/2022)
(1/26/2022)
(2/24/2022)
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 8
Date: 9/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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