James M. Sanford
Professional summary
James Matthew Sanford, who also goes by James M Sanford, Jim Sanford, 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 1994. James has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Matthew Sanford's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2026 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020January 26, 2018 - January 4, 2021
ERG SECURITIES (US) LLC
August 18, 2017 - January 30, 2018
BLUE SAND SECURITIES LLC
October 10, 2013 - February 11, 2014
CAROLINA CAPITAL MARKETS, INC.
February 15, 2012 - June 15, 2017
SAG HARBOR ADVISORS, INC.
August 2, 2010 - January 30, 2012
GLEACHER & COMPANY SECURITIES, INC.
May 26, 1999 - June 18, 2010
CREDIT SUISSE SECURITIES (USA) LLC
August 5, 1994 - May 20, 1999
JPMSI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/9/2026
General Securities Representative ExaminationSeries 55
Date: 9/30/2010
Limited Representative-Equity Trader ExamFINRA
Current Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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