Alan C. Fields

STONEHAVEN

NEW YORK, NY 10020

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CRD#: 1663982

Professional summary

Alan Clayton Fields, CFA, who also goes by Alan Fields, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1987. Alan has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alan Fields

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 Alan Clayton Fields'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®

CFA

Chartered Financial Analyst

Experience

Current

July 16, 2019 - Present

STONEHAVEN, LLC

Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020

CRD#: 118913

NEW YORK, NY

Past

March 27, 2018 - July 25, 2019

OMNICAP, LLC

CRD#: 137353

NEW YORK, NY

Past

February 22, 2014 - January 31, 2017

BLUE SAND SECURITIES LLC

CRD#: 142976

NEW YORK, NY

Past

January 6, 2000 - August 19, 2013

PINEBRIDGE SECURITIES LLC

CRD#: 5967

NEW YORK, NY

Past

April 29, 1987 - July 15, 1997

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(7/18/2019)

Alaska
(8/7/2019)

Arizona
(7/23/2019)

Arkansas
(7/17/2019)

California
(7/17/2019)

Colorado
(7/17/2019)

Connecticut
(7/18/2019)

Delaware
(7/19/2019)

District of Columbia
(7/31/2019)

Florida
(7/29/2019)

Georgia
(8/1/2019)

Hawaii
(7/25/2019)

Idaho
(7/17/2019)

Illinois
(7/26/2019)

Indiana
(7/24/2019)

Iowa
(7/17/2019)

Kansas
(7/22/2019)

Kentucky
(7/24/2019)

Louisiana
(7/26/2019)

Maine
(7/17/2019)

Maryland
(7/18/2019)

Massachusetts
(7/17/2019)

Michigan
(7/26/2019)

Minnesota
(8/6/2019)

Mississippi
(7/17/2019)

Missouri
(7/17/2019)

Montana
(7/17/2019)

Nebraska
(7/31/2019)

Nevada
(7/26/2019)

New Hampshire
(7/17/2019)

New Jersey
(7/17/2019)

New Mexico
(7/25/2019)

New York
(7/23/2019)

North Carolina
(7/31/2019)

North Dakota
(7/22/2019)

Ohio
(7/17/2019)

Oklahoma
(7/17/2019)

Oregon
(7/30/2019)

Pennsylvania
(7/17/2019)

Rhode Island
(7/22/2019)

South Carolina
(7/18/2019)

South Dakota
(7/25/2019)

Tennessee
(7/25/2019)

Texas
(7/22/2019)

Utah
(7/17/2019)

Vermont
(7/23/2019)

Virginia
(7/23/2019)

Washington
(7/26/2019)

West Virginia
(8/6/2019)

Wisconsin
(7/26/2019)

Wyoming
(7/19/2019)

Exams

State Security Law Exam

Series 63

Date: 1/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/27/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STONEHAVEN, LLC

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEHAVEN HOLDINGS LLC	SOLE MEMBER OF STONEHAVEN LLC
FRANK, DAVID THOMAS	CEO	3256230
JAFARZADEH, STEVEN ERIC	CCO	2994968
SULLIVAN, MARK JOSEPH	CGO	2925479

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Alan C. Fields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alan Clayton Fields's CRS (Customer Relationship Summary).

Certified licenses

Experience

OMNICAP, LLC

BLUE SAND SECURITIES LLC

PINEBRIDGE SECURITIES LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/2000

SIE

Date: 10/1/2018

Series 3

Date: 11/27/1996

Series 7

Date: 4/25/1987

FINRA

Current Firm

STONEHAVEN, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEHAVEN, LLC

TRUST BUT VERIFY

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