AK
Andrew W. Kline
STONEHAVEN
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5052963
AK
Professional summary
Andrew William Kline is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew William Kline'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
June 3, 2020 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020BD
CRD#: 118913
NEW YORK, NY
Past
January 7, 2013 - June 3, 2020
RAINMAKER SECURITIES, LLC
BD
CRD#: 132995
Santa Monica, CA
Past
June 30, 2006 - December 4, 2012
GROWTH CAPITAL SERVICES, INC.
BD
CRD#: 124658
LOS ANGELES, CA
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
Alabama(8/20/2020)
RR
Alaska(7/9/2020)
RR
Arizona(8/20/2020)
RR
Arkansas(7/21/2020)
RR
California(6/3/2020)
RR
Colorado(7/8/2020)
RR
Connecticut(6/8/2020)
RR
Delaware(11/9/2020)
RR
District of Columbia(6/3/2020)
RR
Florida(10/5/2020)
RR
Georgia(6/3/2020)
RR
Hawaii(9/11/2020)
RR
Idaho(10/22/2020)
RR
Illinois(6/9/2020)
RR
Indiana(6/3/2020)
RR
Iowa(6/4/2020)
RR
Kansas(6/11/2020)
RR
Kentucky(7/20/2020)
RR
Louisiana(6/12/2020)
RR
Maine(6/10/2020)
RR
Maryland(7/15/2020)
RR
Massachusetts(7/29/2020)
RR
Michigan(12/22/2020)
RR
Minnesota(6/9/2020)
RR
Mississippi(6/5/2020)
RR
Missouri(9/30/2020)
RR
Montana(7/28/2020)
RR
Nebraska(6/4/2020)
RR
Nevada(10/6/2020)
RR
New Hampshire(10/23/2020)
RR
New Jersey(8/6/2020)
RR
New Mexico(6/12/2020)
RR
New York(6/3/2020)
RR
North Carolina(6/5/2020)
RR
North Dakota(6/8/2020)
RR
Ohio(6/3/2020)
RR
Oklahoma(6/5/2020)
RR
Oregon(7/22/2020)
RR
Pennsylvania(6/4/2020)
RR
Puerto Rico(1/3/2023)
RR
Rhode Island(6/8/2020)
RR
South Carolina(6/19/2020)
RR
South Dakota(8/3/2020)
RR
Tennessee(6/17/2020)
RR
Texas(6/3/2020)
RR
Utah(7/14/2020)
RR
Vermont(7/13/2020)
RR
Virginia(8/3/2020)
RR
Washington(7/15/2020)
RR
West Virginia(8/3/2020)
RR
Wisconsin(7/10/2020)
RR
Wyoming(6/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
Disclosures
| Regulatory Event | 1 |
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.
