James W. Macdougall

STONEHAVEN

NEW YORK, NY 10020

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CRD#: 729535

Professional summary

James William Macdougall, who also goes by Jim Macdougall, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1981. James has worked at 25 firms and has passed the Series 63, Series 72, SIE, Series 3, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Macdougall

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 James William Macdougall'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 16, 2025 - Present

STONEHAVEN, LLC

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

CRD#: 118913

NEW YORK, NY

Past

July 25, 2022 - May 28, 2025

FINALIS SECURITIES LLC

CRD#: 305908

SAN JUAN CAPISTRANO, CA

Past

November 2, 2020 - November 22, 2021

ODEON CAPITAL GROUP LLC

CRD#: 148493

NEW YORK, NY

Past

January 15, 2019 - October 27, 2020

MARCO POLO SECURITIES INC.

CRD#: 46561

NEW YORK, NY

Past

August 8, 2016 - February 27, 2017

CASTLEOAK SECURITIES, LP

CRD#: 125334

NEW YORK, NY

Past

February 19, 2014 - May 27, 2016

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

NEW YORK, NY

Past

June 25, 2013 - February 13, 2014

BRAVER STERN SECURITIES LLC

CRD#: 29108

NEW YORK, NY

Past

August 24, 2011 - April 30, 2013

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

August 2, 2010 - August 23, 2011

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

October 22, 2008 - July 30, 2010

SUMMIT SECURITIES GROUP LLC

CRD#: 143727

NEW YORK, NY

Past

March 17, 2008 - October 6, 2008

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

January 4, 2008 - March 11, 2008

AURIA SERVICES CORP.

CRD#: 27851

NEW YORK, NY

Past

February 2, 2006 - December 3, 2007

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

January 27, 2004 - January 18, 2006

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

April 30, 2003 - January 26, 2004

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

June 18, 2001 - May 6, 2003

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 4, 2001 - June 13, 2001

CBA SECURITIES LLC

CRD#: 33149

GREENWICH, CT

Past

June 15, 1999 - February 16, 2001

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

July 29, 1996 - August 12, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 7, 1996 - July 11, 1996

MILLER TABAK HIRSCH & CO.

CRD#: 10384

NEW YORK, NY

Past

July 13, 1993 - February 9, 1996

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

June 22, 1989 - July 8, 1993

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

June 22, 1989 - July 8, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 23, 1987 - July 8, 1993

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

December 7, 1984 - April 3, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

July 25, 1983 - August 27, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

April 13, 1981 - July 22, 1983

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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

Connecticut
(5/16/2025)

New York
(5/16/2025)

Exams

State Security Law Exam

Series 63

Date: 10/13/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/23/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/16/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/11/1981

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

James W. Macdougall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James William Macdougall's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINALIS SECURITIES LLC

ODEON CAPITAL GROUP LLC

MARCO POLO SECURITIES INC.

CASTLEOAK SECURITIES, LP

JANNEY MONTGOMERY SCOTT LLC

BRAVER STERN SECURITIES LLC

MIZUHO SECURITIES USA LLC

GUGGENHEIM SECURITIES, LLC

SUMMIT SECURITIES GROUP LLC

COWEN SECURITIES LLC

AURIA SERVICES CORP.

SG AMERICAS SECURITIES, LLC

GUGGENHEIM SECURITIES, LLC

BGC FINANCIAL, L.P.

LEGG MASON WOOD WALKER, INCORPORATED

CBA SECURITIES LLC

PNC CAPITAL MARKETS LLC

UBS FINANCIAL SERVICES INC.

MILLER TABAK HIRSCH & CO.

CHASE SECURITIES, INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN BROTHERS INC.

LEHMAN GOVERNMENT SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/13/2020

Series 72

Date: 1/2/2023

SIE

Date: 2/27/2017

Series 3

Date: 8/23/1988

Series 5

Date: 10/16/1981

Series 7

Date: 4/11/1981

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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