Joel H. Simkins

STONEHAVEN

NEW YORK, NY 10020

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CRD#: 4175535

Professional summary

Joel Howard Simkins is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Joel is registered as a RR (Registered Representative) and started their career in finance in 2000. Joel has worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Howard Simkins'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

May 21, 2024 - Present

STONEHAVEN, LLC

Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020

CRD#: 118913

NEW YORK, NY

Past

July 6, 2022 - May 29, 2024

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

NEW YORK, NY

Past

April 7, 2016 - April 11, 2022

TRUIST SECURITIES, INC.

CRD#: 6271

NEW YORK, NY

Past

August 16, 2010 - May 18, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 13, 2007 - July 2, 2010

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

November 7, 2006 - June 22, 2007

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 16, 2000 - December 16, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 19, 2000 - August 16, 2000

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(5/21/2024)

Colorado
(7/11/2024)

Connecticut
(7/11/2024)

Delaware
(7/11/2024)

Florida
(7/11/2024)

Georgia
(7/11/2024)

Illinois
(7/11/2024)

Massachusetts
(7/11/2024)

Nevada
(5/21/2024)

New Jersey
(5/21/2024)

New York
(5/21/2024)

Oregon
(10/23/2024)

Pennsylvania
(1/2/2025)

Texas
(1/2/2025)

Washington
(7/11/2024)

Exams

State Security Law Exam

Series 63

Date: 11/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/24/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 86

Date: 12/28/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 11/22/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/6/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STONEHAVEN, LLC

CRD#: 118913 / SEC#: , 8-53699

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEHAVEN HOLDINGS LLC	SOLE MEMBER OF STONEHAVEN LLC
FRANK, DAVID THOMAS	CEO	3256230
JAFARZADEH, STEVEN ERIC	CCO	2994968
SULLIVAN, MARK JOSEPH	CGO	2925479

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Joel H. Simkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Howard Simkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOULIHAN LOKEY CAPITAL, INC.

TRUIST SECURITIES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

MACQUARIE CAPITAL (USA) INC.

PRUDENTIAL EQUITY GROUP, LLC

DEUTSCHE BANK SECURITIES INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/13/2006

SIE

Date: 10/1/2018

Series 79

Date: 5/24/2016

Series 86

Date: 12/28/2006

Series 87

Date: 11/22/2006

Series 7

Date: 11/6/2006

FINRA

Current Firm

STONEHAVEN, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEHAVEN, LLC

TRUST BUT VERIFY

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