Colin J. Ives
Professional summary
Colin James Ives is a registered financial professional currently at STONECASTLE SECURITIES, LLC located in New York, New York.
Colin is registered as a RR (Registered Representative) and started their career in finance in 1994. Colin has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Colin James Ives's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2025 - Present
STONECASTLE SECURITIES, LLC
Office #1: 152 West 57th Street 52nd Floor, New York, NY 10019November 2, 2020 - June 24, 2025
IMPERIAL CAPITAL, LLC
April 23, 2018 - October 29, 2020
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
May 9, 2016 - April 10, 2018
COWEN AND COMPANY
January 17, 2006 - May 11, 2016
CRT CAPITAL GROUP LLC
November 16, 1994 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 16, 1994 - October 11, 2005
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/28/2025)
(7/28/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/12/2002
Limited Representative-Equity Trader ExamFINRA
Current Firm
STONECASTLE SECURITIES, LLC
CRD#: 131211 / SEC#: , 8-66434
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONECASTLE PARTNERS, LLC | SOLE MEMBER | |
| HOLMEN, ROBERT CHRISTOPHER | PRESIDENT, CCO | 2919060 |
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.
