Thomas S. Gatto

STONEHAVEN

NEW YORK, NY 10020

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CRD#: 1854376

Professional summary

Thomas Salvatore Gatto, CIMA®, who also goes by Thomas S Gatto, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas S Gatto

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 Thomas Salvatore Gatto'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 13, 2020 - Present

STONEHAVEN, LLC

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

CRD#: 118913

NEW YORK, NY

Past

June 6, 2018 - January 14, 2020

ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258

New York, NY

Past

July 6, 2015 - June 6, 2018

ARTIVEST BROKERAGE LLC

CRD#: 168218

NEW YORK, NY

Past

November 10, 2014 - September 8, 2015

REALITY SHARES ADVISORS

RIA

CRD#: 166762

EASTON, CT

Past

March 7, 2014 - June 16, 2015

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

January 4, 2011 - December 31, 2013

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

NEW YORK, NY

Past

March 23, 2010 - January 17, 2014

GOTHAM ASSET MANAGEMENT, LLC

RIA

CRD#: 149335

NEW YORK, NY

Past

May 31, 2006 - April 2, 2009

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

NEW YORK, NY

Past

September 27, 2004 - June 1, 2006

BLACKROCK CAPITAL MANAGEMENT, INC.

RIA

CRD#: 108069

NEW YORK, NY

Past

January 14, 2003 - April 2, 2009

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

January 15, 2002 - September 10, 2002

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

May 23, 2000 - January 28, 2002

NICHOLAS-APPLEGATE SECURITIES LLC

CRD#: 31205

SAN DIEGO, CA

Past

March 11, 1998 - May 5, 2000

OCC DISTRIBUTORS LLC

CRD#: 18541

NEW YORK, NY

Past

December 17, 1993 - February 18, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 15, 1990 - January 4, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 12, 1990 - October 25, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 19, 1988 - January 4, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

California
(7/13/2020)

Colorado
(1/20/2021)

Connecticut
(7/13/2020)

Florida
(7/13/2020)

Georgia
(1/3/2024)

Illinois
(5/11/2023)

Kansas
(1/20/2021)

Kentucky
(1/20/2021)

Michigan
(11/14/2024)

New York
(7/13/2020)

Ohio
(7/13/2020)

Pennsylvania
(10/1/2025)

Texas
(7/13/2020)

Virginia
(1/20/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/8/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1989

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: 8/30/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/10/2006

General Securities Principal 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

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.

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Advisor Monitoring

Firm Stability Insights

Thomas S. Gatto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Salvatore Gatto's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHAMAX DISTRIBUTORS, L.L.C.

ARTIVEST BROKERAGE LLC

REALITY SHARES ADVISORS

ALPS DISTRIBUTORS, INC.

FORESIDE FUNDS DISTRIBUTORS LLC

GOTHAM ASSET MANAGEMENT, LLC

BLACKROCK FINANCIAL MANAGEMENT, INC

BLACKROCK CAPITAL MANAGEMENT, INC.

BLACKROCK INVESTMENTS, LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

NICHOLAS-APPLEGATE SECURITIES LLC

OCC DISTRIBUTORS LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 2/8/2005

Series 63

Date: 4/20/1989

SIE

Date: 10/1/2018

Series 3

Date: 8/30/2018

Series 7

Date: 7/16/1988

Series 24

Date: 7/10/2006

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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