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TB

Torstein M. Braaten

STONEHAVEN
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2988290
TB

Professional summary

Torstein Mads Braaten, who also goes by Torstein Braaten, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Torstein is registered as a RR (Registered Representative) and started their career in finance in 1998. Torstein has worked at 7 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 38, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Torstein Braaten

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 Torstein Mads Braaten'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

August 27, 2025 - Present

STONEHAVEN, LLC

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

January 26, 2018 - July 20, 2021

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY
Past

April 7, 2017 - January 17, 2018

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
TORONTO,
Past

June 14, 2006 - May 27, 2015

VIRTU ITG LLC

BD
CRD#: 29299
TORONTO,
Past

November 28, 2001 - June 2, 2006

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

March 31, 2000 - September 14, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 22, 1998 - March 31, 2000

BMO NESBITT BURNS SECURITIES LTD.

BD
CRD#: 44057
TORONTO, ONTARIO,

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
California
(8/29/2025)
RR
Delaware
(8/29/2025)
RR
Florida
(8/27/2025)
RR
Georgia
(8/28/2025)
RR
Illinois
(8/27/2025)
RR
Massachusetts
(8/28/2025)
RR
New Jersey
(8/27/2025)
RR
New York
(8/28/2025)
RR
Texas
(8/27/2025)
RR
Utah
(8/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/4/2024
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/27/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 38
Date: 3/19/1998
Canada Module of the General Securities Registered Representative (Without Options Questions)
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/4/2024
Registered Options 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)
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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)

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

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