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CS

Christopher J. Sargent

STONEHAVEN
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5897611
CS

Professional summary

Christopher J Sargent, who also goes by Christopher James Sargent, Christopher Sargent, Chris Sargent, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2013. Christopher has worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher James Sargent | Christopher Sargent | Chris Sargent

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 Christopher J Sargent'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

December 23, 2025 - Present

STONEHAVEN, LLC

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

July 30, 2019 - April 16, 2021

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

January 24, 2018 - July 31, 2019

CENTER STREET ADVISORS, INC.

RIA
CRD#: 169329
Newport Beach, CA
Past

March 13, 2017 - July 31, 2019

CENTER STREET SECURITIES, INC.

BD
CRD#: 26898
NEWPORT BEACH, CA
Past

January 24, 2017 - February 8, 2017

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

August 4, 2015 - August 1, 2016

PREFERRED CAPITAL SECURITIES, LLC

BD
CRD#: 169719
ATLANTA, GA
Past

January 20, 2015 - August 3, 2015

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ATLANTA, GA
Past

October 1, 2013 - January 26, 2015

HLH SECURITIES, INC.

BD
CRD#: 23326
COSTA MESA, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2013
General Securities Representative 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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