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Jon Conner

CFA
STONEHAVEN
NEW YORK, NY
·CRD# 3253363·27 years experience

Professional Summary

Jon Conner, CFA, who also goes by Jon Karl Conner, Jon Conner, Cfa, Caia, is a registered financial advisor currently at STONEHAVEN, LLC located in New York, New York. Jon is registered as a RR (Registered Representative) and started their career in finance in 1999. Jon has worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jon Karl Conner, Jon Conner, Cfa, Caia

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFA
Chartered Financial Analyst

Years of Experience

27 years in the financial services industry

Current & Past Employments

STONEHAVEN, LLC·CRD# 118913
BD
600 Fifth Avenue 2nd Floor, New York, NY 10020
February 24, 2026 - Present
OAKPOINT SOLUTIONS, LLC·CRD# 171775
BD
Tampa, FL
May 14, 2025 - February 13, 2026
BOFA SECURITIES, INC.·CRD# 283942
RIA
San Francisco, CA
May 10, 2019 - April 29, 2024
BOFA SECURITIES, INC.·CRD# 283942
BD
San Francisco, CA
May 10, 2019 - March 17, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
San Francisco, CA
June 13, 2011 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
San Francisco, CA
June 13, 2011 - May 10, 2019
GUGGENHEIM DISTRIBUTORS, LLC·CRD# 40805
BD
San Francisco, CA
October 21, 2009 - May 27, 2011
SECURITY GLOBAL INVESTORS·CRD# 144107
RIA
San Francisco, CA
July 1, 2009 - October 12, 2010
GUGGENHEIM INVESTMENTS·CRD# 105477
RIA
New York, NY
July 1, 2009 - May 27, 2011
SECURITY DISTRIBUTORS·CRD# 3336
BD
Topeka, KS
December 15, 2008 - November 6, 2009
BNP PARIBAS SECURITIES CORP.·CRD# 15794
BD
San Francisco, CA
November 13, 2006 - August 1, 2007
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
RIA
San Francisco, CA
January 5, 2004 - January 17, 2007
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
San Francisco, CA
June 7, 2001 - January 17, 2007
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
October 14, 1999 - March 2, 2001

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Current Firm

SL
STONEHAVEN, LLC

STONEHAVEN, LLC

CRD#: 118913 / SEC#: 8-53699
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

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

Medium

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

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 Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

I*481567 For profit or not for profit: Name of outside business organization: City of Orinda Investment related: N Address of business: Orinda, California, 94563 Nature of business: Position, title, association: Other, Start date of relationship: 3/24/2021 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Financial Advisory Committee, The Finance Advisory Committee is an advisory body to the City Council on matters relating to finance including budget process and review, examination of financial reports and related financial matters.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(2/24/2026)
RR
Alaska
(2/24/2026)
RR
Arizona
(2/24/2026)
RR
Arkansas
(2/24/2026)
RR
California
(2/24/2026)
RR
Colorado
(2/24/2026)
RR
Connecticut
(2/24/2026)
RR
Delaware
(2/24/2026)
RR
District of Columbia
(2/24/2026)
RR
Florida
(2/24/2026)
RR
Georgia
(2/24/2026)
RR
Hawaii
(2/24/2026)
RR
Idaho
(2/24/2026)
RR
Illinois
(2/24/2026)
RR
Indiana
(2/24/2026)
RR
Iowa
(2/24/2026)
RR
Kansas
(2/24/2026)
RR
Kentucky
(2/24/2026)
RR
Louisiana
(2/24/2026)
RR
Maine
(2/24/2026)
RR
Maryland
(2/24/2026)
RR
Massachusetts
(2/24/2026)
RR
Michigan
(2/24/2026)
RR
Minnesota
(2/24/2026)
RR
Mississippi
(2/24/2026)
RR
Missouri
(2/24/2026)
RR
Montana
(2/24/2026)
RR
Nebraska
(2/24/2026)
RR
Nevada
(2/24/2026)
RR
New Hampshire
(2/24/2026)
RR
New Jersey
(2/24/2026)
RR
New Mexico
(2/24/2026)
RR
New York
(2/24/2026)
RR
North Carolina
(2/24/2026)
RR
North Dakota
(2/24/2026)
RR
Ohio
(2/24/2026)
RR
Oklahoma
(2/24/2026)
RR
Oregon
(2/24/2026)
RR
Pennsylvania
(2/24/2026)
RR
Puerto Rico
(2/24/2026)
RR
Rhode Island
(2/24/2026)
RR
South Carolina
(2/24/2026)
RR
South Dakota
(2/24/2026)
RR
Tennessee
(2/24/2026)
RR
Texas
(2/24/2026)
RR
Utah
(2/24/2026)
RR
Vermont
(2/24/2026)
RR
Virginia
(2/24/2026)
RR
Washington
(2/24/2026)
RR
West Virginia
(2/24/2026)
RR
Wisconsin
(2/24/2026)
RR
Wyoming
(2/24/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2009About the Series 65 exam

Series 66 — Uniform Combined State Law Examination

Passed Dec 2003About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 1999About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Jon Conner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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JC
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