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HS

Haley F. Stein

GA CAPITAL MARKETS BD
New York, NY 10055
Some features on this profile are disabled
CRD#: 7349187
HS

Professional summary

Haley Frances Stein, who also goes by Haley F Stein, is a registered financial professional currently at GA CAPITAL MARKETS BD, LLC located in New York, New York.

Haley is registered as a RR (Registered Representative) and started their career in finance in 2022. Haley has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Haley F Stein

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 Haley Frances Stein'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®
None

Experience

Current

February 4, 2026 - Present

GA CAPITAL MARKETS BD, LLC

Office #1: Park Avenue Plaza 55 East 52nd St 17th Floor, New York, NY, 10055
BD
CRD#: 310101
New York, NY
Past

July 26, 2022 - November 6, 2025

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
New York, NY

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
New York
(2/4/2026)
RR
Oregon
(2/4/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/14/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/31/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/26/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/22/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GA CAPITAL MARKETS BD, LLC
FUND GOOD | GOOD INVESTOR VENTURES LLC | GOOD INVESTOR FINANCIAL | GA CAPITAL MARKETS BD, LLC

CRD#: 310101 / SEC#: , 8-70562

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
2646 Nw Cornell Road, Portland, OR 97210
Mailing Address
2646 Nw Cornell Road, Portland, OR 97210
Phone number
(503) 201-1375
Established
Delaware since 07/06/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GENERAL ATLANTIC CAPITAL MARKETS LLCMEMBER
MAYNARD-PHILIPP, CHRISTIAN DESEREECHIEF COMPLIANCE OFFICER & CHIEF OPERATIONS OFFICER6592228
MEGENITY, BRIAN MCDONALDFINANCIAL OPERATIONS PRINCIPAL2889637
SANTIAGO-PAEZ, SAMANTHA CRYSTALSUPERVISORY PRINCIPAL4369755

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

GA CAPITAL MARKETS BD, LLC

CRD#: 310101New York, NY 10055

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