AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
FF

Frank T. Fiore

STONEHAVEN
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2448132
FF

Professional summary

Frank Thomas Fiore, who also goes by Frank T Fiore, Frank Thomas Fiore, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1994. Frank has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank T Fiore | Frank Thomas Fiore

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.
1-INSIGNEO ADVISORY SERVICES LLC (Affiliate). Dually registered as a Financial Advisor. Devoted to the affiliate 30 hrs/week 2-Name: VILLAGE GATE # 409, 30 MOUNTSIDE RD WARREN VT 06855. No investment related Address: 30 MOUNTSIDE RD WARREN VT 06855. Nature: Vaca ski condo for rent short-term Position: Property owner Start date: 10/31/2023 Devote to the other business: 1 hrs/month Devote to the business during trading hours: 0 hrs/month 3-FIORE CAPITAL ADVISORS LLC_Doing business As (DBA)_Address: 11 Staples Ct, Norwalk, CT 06855-2001_DBA used for Brokerage and Advisory business

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Thomas Fiore'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

May 15, 2025 - Present

STONEHAVEN, LLC

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

November 15, 2023 - April 30, 2025

INSIGNEO ADVISORY SERVICES, LLC

RIA
CRD#: 282589
New York, NY
Past

November 15, 2023 - April 30, 2025

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
New York, NY
Past

March 19, 2021 - September 8, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

March 18, 2021 - September 8, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 1, 2010 - March 24, 2021

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

January 1, 2010 - March 24, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

May 15, 2003 - January 1, 2010

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
NY, NY
Past

June 4, 2001 - January 1, 2010

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

November 21, 2000 - April 9, 2001

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 1, 2000 - August 21, 2000

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

March 17, 1994 - January 21, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
Connecticut
(5/15/2025)
RR
New York
(5/15/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/22/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/4/1994
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 3
Date: 4/10/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 4/18/1994
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2003
General Securities Principal 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Frank Fiore

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics