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MM

Michael P. Mitchell

STONEHAVEN
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5030094
MM

Professional summary

Michael Patrick Mitchell, who also goes by Mike Patrick Mitchell, Michael P Mitchell, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Patrick Mitchell | Michael P Mitchell

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 Michael Patrick Mitchell'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

November 7, 2023 - Present

STONEHAVEN, LLC

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

December 7, 2020 - March 30, 2023

SHARENETT SECURITIES LLC

BD
CRD#: 151011
NEW YORK, NY
Past

March 21, 2018 - December 21, 2018

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEWPORT BEACH, CA
Past

January 8, 2014 - February 28, 2015

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
EL CAJON, CA
Past

January 7, 2014 - February 28, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
EL CAJON, CA
Past

August 1, 2012 - December 10, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN DIEGO, CA
Past

July 16, 2012 - December 10, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN DIEGO, CA
Past

December 12, 2011 - June 26, 2012

DIMIRAK SECURITIES CORPORATION

BD
CRD#: 150181
VISTA, CA
Past

October 19, 2011 - November 30, 2011

HERITAGE FINANCIAL SYSTEMS, LLC

BD
CRD#: 133019
MALVERN, PA
Past

November 23, 2009 - October 3, 2011

HEDGECO SECURITIES, LLC

BD
CRD#: 142498
SAN DIEGO, CA
Past

August 19, 2008 - December 10, 2009

ANDREW GARRETT INC.

BD
CRD#: 29931
LA JOLLA, CA
Past

June 6, 2008 - August 18, 2008

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

January 3, 2008 - March 12, 2008

HEDGECO SECURITIES, LLC

BD
CRD#: 142498
WEST PALM BEACH, FL
Past

May 8, 2006 - December 31, 2007

FIRST UNION SECURITIES, INC.

BD
CRD#: 129502
NEW YORK, NY
Past

October 12, 2005 - April 27, 2006

VESTPOINT SECURITIES, INC.

BD
CRD#: 27260
TAMPA, FL

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
(11/8/2023)
RR
Florida
(1/3/2024)
RR
New York
(11/17/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/31/2012
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/6/2010
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 30
Date: 2/5/2011
NFA Branch Manager 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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