Brian A. Grossman

STONEHAVEN

NEW YORK, NY 10020

Some features on this profile are disabled

CRD#: 5210373

Professional summary

Brian Alexander Grossman is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2008. Brian has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 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 Brian Alexander Grossman'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

July 18, 2025 - Present

STONEHAVEN, LLC

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

CRD#: 118913

NEW YORK, NY

Past

January 21, 2025 - February 10, 2025

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

Santa Monica, CA

Past

July 6, 2016 - December 24, 2024

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

SANTA MONICA, CA

Past

June 28, 2016 - February 10, 2025

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SANTA MONICA, CA

Past

August 6, 2013 - June 9, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

August 2, 2013 - June 9, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

March 6, 2009 - July 15, 2013

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

NEW YORK, NY

Past

September 22, 2008 - July 15, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

September 16, 2008 - October 15, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

NEW YORK, NY

Past

September 1, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

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
(7/18/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/15/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/17/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STONEHAVEN, LLC

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

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)

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian A. Grossman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Alexander Grossman's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/15/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2008

Series 24

Date: 8/17/2022

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

Similar Advisors