James William Macdougall
Professional Summary
James William Macdougall, who also goes by Jim Macdougall, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Macdougall
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
45 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
STONEHAVEN, LLC
Contact Information
Main Address
600 Fifth Avenue 2nd Floor, New York, NY 10020Mailing Address
600 Fifth Avenue 2nd Floor, New York, NY 10020Phone Number
(917) 349-7050Established
Delaware since 10/12/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/16/2025)
(4/7/2026)
(5/16/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023Series 5 — Interest Rate Options Examination
Passed Oct 1981SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James William Macdougall's CRS (Customer Relationship Summary).
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