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Jeffrey Dale Appel

Stonehaven, LLC

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About Jeffrey Dale Appel

Jeffrey Dale Appel is a financial advisor at Stonehaven, LLC. Jeffrey has been working in the financial services industry since November 11, 1999, and has been registered with FINRA since December 9, 2021. Jeffrey is licensed in 14 states and has passed the Series 7, Series 63, and SIE exams.

Firm Information

Jeffrey Appel is currently registered with Stonehaven, LLC. Stonehaven, LLC is a Limited Liability Company formed in October 2001 and is registered in all 50 states and the District of Columbia. They have one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

46

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Jeffrey Appel’s Registration & Firm History

NY

12/09/2021 - Present

Stonehaven, LLC (NEW YORK NY)

NY

03/15/2018 - 11/22/2021

PICKWICK CAPITAL PARTNERS, LLC (WHITE PLAINS NY)

NY

08/20/2013 - 04/05/2016

BROADBAND CAPITAL MANAGEMENT, LLC (NEW YORK NY)

NY

07/19/2011 - 07/31/2013

C & CO/PRINCERIDGE LLC (NEW YORK NY)

NY

04/11/2011 - 06/21/2011

COHEN & COMPANY CAPITAL MARKETS, LLC (NEW YORK NY)

NY

05/05/2010 - 02/15/2011

TICONDEROGA SECURITIES LLC (NEW YORK NY)

NY

05/03/2007 - 04/07/2010

BROADBAND CAPITAL MANAGEMENT, LLC (NEW YORK NY)

NY

09/16/2005 - 04/27/2007

MERRIMAN CURHAN FORD & CO. (NEW YORK NY)

NY

10/20/2004 - 08/18/2005

EARLYBIRDCAPITAL, INC. (MELVILLE NY)

NY

11/23/1998 - 07/02/1999

VECTOR SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NA

04/30/1998 - 07/02/1998

BLOOM & COMPANY SECURITIES, INC.

NY

07/07/1995 - 10/30/1995

GENESIS MERCHANT GROUP SECURITIES L.P. (NEW YORK NY)

NY

12/08/1992 - 07/20/1995

OPPENHEIMER & CO., INC. (NEW YORK NY)

NY

02/24/1992 - 08/06/1992

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

NY

03/28/1991 - 05/15/1991

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

NY

09/26/1990 - 10/24/1990

SALOMON BROTHERS INC. (NEW YORK NY)

NY

08/18/1987 - 08/23/1990

C.J. LAWRENCE, MORGAN GRENFELL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/19/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Jeffrey Dale Appel. Review regulatory record here.
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