CM
Connor Moore
STONEHAVEN
NEW YORK, NY 10020
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CRD#: 7534286
CM
Professional summary
Connor Moore is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.
Connor is registered as a RR (Registered Representative) and started their career in finance in 2022. Connor has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Connor Moore'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®
NoneExperience
Current
August 15, 2022 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020BD
CRD#: 118913
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
Florida(3/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
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)
Disclosures
| Regulatory Event | 1 |
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.
