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RM

Roy J. Mossy

STONEHAVEN
NEW YORK, NY 10020
CRD#: 7732888
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RM
Roy Joseph MossySTONEHAVEN

Professional summary

Roy Joseph Mossy, who also goes by Roy Joseph Mossy III, Roy Mossy, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.

Roy is registered as a RR (Registered Representative) and started their career in finance in 2023. Roy has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roy Joseph Mossy Iii | Roy Mossy

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 Roy Joseph Mossy'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

June 9, 2026 - Present

STONEHAVEN, LLC

Office #1: 600 Fifth Avenue 2nd Floor, New York, NY 10020
BD
CRD#: 118913
NEW YORK, NY
Past

July 7, 2023 - April 13, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
West Palm Beach, FL

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
(6/9/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/6/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2023
Securities Industry Essentials 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)

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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