DF
David T. Frank
STONEHAVEN ADVISORS
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 3256230
DF
Professional summary
David Thomas Frank is a registered financial advisor currently at STONEHAVEN ADVISORS, LLC located in New York, New York and STONEHAVEN, LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. STONEHAVEN HOLDINGS, LLC, NON-INVESTMENT RELATED, LOCATED AT 600 FIFTH AVENUE, 2ND FLOOR, NY, NY 10020, MANAGING MEMBER, NON-OPERATING HOLD CO WHICH OWNS STONEHAVEN SUBSIDIARIES INCLUDING STONEHAVEN, LLC. LESS THAN 2 HOURS PER MONTH DEVOTED TO THIS BUSINESS. 2. STONEHAVEN NEXUS, LLC, NON-INVESTMENT RELATED, MANAGING MEMBER, TECHNOLOGY COMPANY FOCUSED ON DEVELOPING THE PROPRIETARY SOFTWARE (NEXUS), APPROXIMATELY 60-80 HOURS PER MONTH. 3. STONEHAVEN ADVISORS, LLC, INVESTMENT RELATED, MANAGING MEMBER, NY-STATE REGISTERED INVESTMENT ADVISOR, CREATED TO FACILIATE COMPLIANT IA-TO-IA FEE SHARING RELATING TO REFERRALS REGARDING SMAS AND TRADITIONAL RIA SERVICES, LESS THAN 5 HOURS PER MONTH. 4. STONEHAVEN ASSET MANAGEMENT, LLC, LOCATED AT 600 FIFTH AVENUE, 2ND FLOOR, NY, NY 10020, INVESTMENT RELATED, MANAGING MEMBER, INVESTMENT MANAGER FOR THE STONEHAVEN OPPORTUNITIES FUND, LP - VEHICLE HAS BEEN IN WIND DOWN MODE SINCE CIRCA 2008, FRIENDS AND FAMILY VEHICLE WITH NO OUTSIDE INVESTORS. LESS THAN 5 HOURS PER MONTH. 5. STONEHAVEN CAPITAL PARTNERS, LLC, LOCATED AT 600 FIFTH AVENUE, 2ND FLOOR, NY, NY 10020, INVESTMENT RELATED, MANAGING MEMBER, GENERAL PARTNER FOR THE STONEHAVEN OPPORTUNITIES FUND, LP - VEHICLE HAS BEEN IN WIND DOWN MODE SINCE CIRCA 2008, FRIENDS AND FAMILY VEHICLE WITH NO OUTSIDE INVESTORS. LESS THAN 5 HOURS PER MONTH. 6. STONEHAVEN OPPORTUNITIES FUND, LP, INVESTMENT-RELATED, PORTFOLIO MANAGER, LOCATED AT 600 FIFTH AVENUE, 2ND FLOOR, NY, NY 10020, INVESTMENT RELATED, MANAGING MEMBER, INVESTMENT MANAGER FOR THE STONEHAVEN OPPORTUNITIES FUND, LP - VEHICLE HAS BEEN IN WIND DOWN MODE SINCE CIRCA 2008, FRIENDS AND FAMILY VEHICLE WITH NO OUTSIDE INVESTORS. LESS THAN 5 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view David Thomas Frank's 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®
NoneExperience
Current
October 6, 2022 - Present
STONEHAVEN ADVISORS, LLC
Office #1: 600 Fifth Avenue 2nd Floor, New York, NY 10020RIA
CRD#: 322608
NEW YORK, NY
Current
May 30, 2002 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020BD
CRD#: 118913
NEW YORK, NY
Past
July 10, 2001 - June 12, 2002
PCS SECURITIES, INC.
BD
CRD#: 47588
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Colorado(3/19/2009)
RR
Connecticut(11/12/2009)
RR
Delaware(3/2/2015)
RR
New York(7/9/2004)
IAR
New York(10/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEHAVEN ADVISORS, LLC
STONEHAVEN ADVISORS, LLC
CRD#: 322608 / SEC#:
Connecticut
Registered Investment Advisory firm - (1/7/2025 Approved)Florida
Registered Investment Advisory firm - (9/19/2025 Approved)New York
Registered Investment Advisory firm - (10/6/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 Fifth Avenue 2nd Floor, New York, NY 10020
Mailing Address
Phone number
(917) 349-7050
Established
Firm type
Fiscal year end
# of Employees
5
Red Flags
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