Broker-dealer firm · New York, NY
Flagstar Securities, Inc.
SEC-registered investment adviser · CRD 104233 · SEC 801-67767
At a glance
Flagstar Securities, Inc. is an SEC-registered investment adviser based in New York, New York, with $784 million in regulatory assets under management as of its Form ADV filed July 28, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,004 individual clients. By Form ADV it is a broker-dealer firm, ranked 179th of 391 broker-dealer firms and 6,171st of 17,210 SEC-registered advisers by assets.
Main office 646-822-1475flagstar.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $784M
- Rank among broker-dealer firms
- #179 of 391
- Rank among all SEC RIAs
- #6,171 of 17,210
- Rank in New York
- #1,270 of 2,591
- Individual clients
- 1,004
- High-net-worth clients
- 338
- Accounts
- 1,123
- Discretionary
- 100% of AUM
- Employees
- 37
- Advisory staff
- 37
- Offices
- 13
Owners and executives on its Form ADV
- Philip Vincent PerryCEO, OSJ Principal, Municipal Securities Principal, Senior Registered Options Principal
- Brian Joseph McGlynnCompliance Registered Options Principal and Compliance Officer
- Douglas P GeraghtyChief Compliance Officer, Director
- Seth William SternSenior Deputy General Counsel, Director
- Adam Brian FeitHead of Specialized Industries and Capital Markets, Director
- Richard Alexander RaffettoPresident of Commercial and Private Banking, Director
- Mark Andrew PittseyHead of Private Banking & Wealth Management, Director
- Shweta Prabhudas PawaniFinop/chief Financial Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Flagstar Securities, Inc. is a hybrid RIA: 35 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 338 | $410M | 52% |
| Individuals | 666 | $235M | 30% |
| Corporations or other businesses | 37 | $71M | 9% |
| Pension and profit sharing plans | 68 | $38M | 5% |
| Charitable organizations | 13 | $30M | 4% |
| Insurance companies | 1 | $1M | <1% |
Disciplinary disclosures
Flagstar Securities, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗flagstar.com ↗
AtlasMembers
The full record on Flagstar Securities, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 144 peers of its type and size
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- Owners and executives, with titles and stakes
- 8 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Flagstar Securities, Inc. manage?
Flagstar Securities, Inc. reports $784 million in regulatory assets under management across 1,123 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 28, 2026.
What kind of firm is Flagstar Securities, Inc.?
Flagstar Securities, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Flagstar Securities, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($410 million, 338 clients); individuals ($235 million, 666 clients); corporations or other businesses ($71 million, 37 clients).
Does Flagstar Securities, Inc. have any disciplinary history?
Flagstar Securities, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Flagstar Securities, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →