Flagstar Securities, Inc.
SEC-registered
Insurance-Affiliated · Small ($100M–$1B)
CRD 104233
· SEC file 801-67767
· New York, NY
· www.linkedin.com
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ADV data as of Jul 28, 2026
- Regulatory AUM
- $784M
- Discretionary
- $784M
- Clients
- 1,123
- Avg AUM / client
- $698K
- Accounts
- 1,123
- Employees
- 37
AUM over time
$216M
$1.2B
Mar 16, 2012
Jul 28, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 666 | $235M | 29.9% |
| High net worth individuals | 338 | $410M | 52.3% |
| Pension and profit sharing plans | 68 | $38.0M | 4.85% |
| Charitable organizations | 13 | $29.9M | 3.81% |
| Insurance companies | 1 | $786K | 0.1% |
| Corporations and other businesses | 37 | $70.9M | 9.04% |
People (33)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Philip Vincent Perry | Osj Principal, Municipal Securities Principal, Senior Registered Options Principal | Nov 2000 (26y) | Less than 5% | |
| Maguire, William John Jr | Ceo, President, Director | Mar 2007 (19y) | Less than 5% | |
| Brian Joseph Mcglynn | Compliance Registered Options Principal And Compliance Officer | Mar 2007 (19y) | Less than 5% | |
| Roberts, Jonathan Henry | Finop/Chief Financial Officer, Director | Jan 2013 (14y) | Less than 5% | |
| Douglas P Geraghty | Chief Compliance Officer, Director | CFP | Sep 2023 (3y) | Less than 5% |
| Birnbaum, Jason Alan | President Of Private Bank, Director | Sep 2024 (2y) | Less than 5% | |
| Feit, Adam Brian | Head Of Specialized Industries And Capital Markets, Director | Sep 2024 (2y) | 10% – 25% | |
| Raffetto, Richard Alexander | President Of Commercial And Private Banking, Director | Sep 2024 (2y) | Less than 5% | |
| Stern, Seth William | Senior Deputy General Counsel, Director | Sep 2024 (2y) | Less than 5% | |
| Salim Nazkani | Registered representative | Oct 2003 (23y) | ||
| James Joseph Roach | Registered representative | Oct 2003 (23y) | ||
| Anthony Cosimo Ficorilli | Registered representative | Oct 2008 (18y) | ||
| William Gavin Phelan | Registered representative | Jan 2010 (17y) | ||
| Alexander James Zias | Registered representative | Oct 2021 (5y) | ||
| Alexander Leon | Registered representative | Jan 2025 (2y) | ||
| Andrew M Smith | Registered representative | Jan 2025 (2y) | ||
| Brian David Schwartz | Registered representative | Jan 2025 (2y) | ||
| Darren Castillo | Registered representative | Jan 2025 (2y) | ||
| Matthew Healey | Registered representative | Jan 2025 (2y) | ||
| Michael Edward Santucci | Registered representative | Jan 2025 (2y) | ||
| Noreen Kerry Dorrian | Registered representative | Jan 2025 (2y) | ||
| Peter Bruno | Registered representative | Jan 2025 (2y) | ||
| Robert John Vessecchia | Registered representative | Jan 2025 (2y) | ||
| Scott Michael Weinfeld | Registered representative | Jan 2025 (2y) | ||
| Stephen Carl Farinacci | Registered representative | Jan 2025 (2y) | ||
| Maria Ines Echeverria | Registered representative | Jan 2025 (2y) | ||
| Karli Vazquez Mendez | Registered representative | CFP | Jan 2025 (2y) | |
| Mark Andrew Pittsey | Registered representative | Mar 2025 (1y) | ||
| Carly Doshi | Registered representative | Sep 2025 (1y) | ||
| Richard Anthony Petrosky | Registered representative | Jan 2026 (1y) | ||
| Roman Yakubov | Registered representative | Jan 2026 (1y) | ||
| Elise Klarfeld Ornstein | Registered representative | Jun 2026 (0y) | ||
| Essa Athar | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Flagstar Bank, N.A. | Shareholder | Apr 2023 | A | 75% or more |
| New York Community Bancorp, Inc. | Shareholder | Dec 2022 | B | ≈ 56.25% – 100% via Flagstar Bank, N.A. |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- New York Community Bancorp, Inc.: 75% – 100% of Flagstar Bank, N.A. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/14/2026 | 1.12 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $784M (100% of AUM) Jul 2026
- Charles Schwab & Co. $89.2M (9% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 28, 2026.
View current Form ADV (SEC/IAPD) ↗