Steven Jafarzadeh is a Managing Director, the CCO and a Partner of Stonehaven, LLC. Mr. Jafarzadeh contributes significantly to planning the overall strategic direction of the Firm, managing compliance, supervising operations, serving as the point person with FINRA, the SEC, the NFA and the MSRB, spearheading contract negotiations with all outside parties, creating and implementing systems that provide scale to the Firm’s platform, providing strategic guidance to employees and Affiliate Partners, and identifying and cultivating long-term, strategic relationships within the financial community. Mr. Jafarzadeh coordinates all cycle examinations with regulatory organizations as the Firm’s CCO and has maintained the Firm’s exemplary record through each regulatory exam despite the complexities of a dynamic regulatory landscape, a growing team, and a business model unique to regulators.
Prior to joining Stonehaven, Mr. Jafarzadeh was Head Trader for a boutique broker dealer in California and managed order flow from multiple in-house hedge funds, managed accounts and institutional equity sales channels. Mr. Jafarzadeh has also served in various compliance roles which have been instrumental regarding the launch and administrative maintenance of a Registered Investment Adviser, multiple onshore and offshore hedge funds, and managed accounts.
Mr. Jafarzadeh attended the University of Vermont with a focus in economics and earned a B.S. in Business Management from the University of Phoenix. Mr. Jafarzadeh is a CAIA charter holder, and is a member of the Chartered Alternative Investment Analyst Association. Mr. Jafarzadeh is also a Certified Regulatory Compliance Professional (CRCP), having earned this designation through the FINRA Institute at The Wharton School of the University of Pennsylvania. Mr. Jafarzadeh is also an elected member and Small Firm Representative of the FINRA New York City Regional Committee which serves the greater metropolitan area of New York and its five boroughs. Mr. Jafarzadeh is also a former member of the Board of Directors for the Third Party Marketers Association where he served as Director of Communications for the Regulatory Committee. Currently, Mr. Jafarzadeh holds the Series 7, 24, 31, 55, 63, 79 and 99 registrations with FINRA. Mr. Jafarzadeh lives in Fairfield, CT.