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Firm Trust Report

FLAGSTAR SECURITIES, INC.

Reported as registeredReported as registered

The firm's Form ADV/IARD record in the cited SEC dataset reports it as a registered investment adviser as of the source date shown. That is not SEC approval, certification, endorsement, or a finding that the firm is safe or trustworthy.

CRD
104233
SEC file number
801-67767
Principal office
1400 BROADWAY
16TH FLOOR
NEW YORK, NY, 10018
Current as of
August 3, 2026
Retrieved
August 18, 2026
Source effective date
August 3, 2026

SEC/IARD source release: August 3, 2026 · InvestorTrustHub retrieved: August 18, 2026

Official identifiers

Identifiers come from the cited SEC/IARD firm roster. InvestorTrustHub does not invent missing numbers.

  • CRD

    104233

  • SEC number

    801-67767

Regulatory status

Reported

Reported as registered

The firm's Form ADV/IARD record in the cited SEC dataset reports it as a registered investment adviser as of the source date shown. That is not SEC approval, certification, endorsement, or a finding that the firm is safe or trustworthy.

A source reports this value. We have not independently confirmed it beyond the cited record.

Source

Reported

U.S. Securities and Exchange Commission / IARD Form ADV dataset.

Registered Investment Advisers (IARD firm roster)

View official IAPD search (opens official source)

A source reports this value. We have not independently confirmed it beyond the cited record.

Firm / ADV facts

Legal structure

Corporation

Website as reported

https://www.flagstar.com/

Regulatory assets under management

$784.3 million

Exact source amount: $784,311,024.00

Regulatory assets under management is a Form ADV regulatory measure and should not be interpreted as investment performance, firm quality, popularity, or an endorsement.

Regulatory disclosures

Firm reported No for Item 11 in this filing.

This is the Form ADV Item 11 checkbox as filed. It is not a disciplinary-event list and not a finding of a clean record.

Clients, compensation, and custody

Figures below are adviser-reported Form ADV items. They are not performance, popularity, or quality scores.

Reported scale

Reported

Employees as reported: 37

Advisory personnel as reported: 37

Clients as reported: 0

As of July 28, 2026

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported compensation methods

Reported
  • Percentage of assets under management

Compensation methods are the boxes the adviser checked on Form ADV. This is not a “fee-only” determination.

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported custody

Reported

Client cash: No as reported

Client securities: No as reported

Related-person cash: No as reported

Related-person securities: No as reported

Custody is reported as filed. It is not a risk score or a quality finding.

A source reports this value. We have not independently confirmed it beyond the cited record.

Other business activities (Item 6)

Reported
  • Broker-dealer
  • Insurance broker or agent

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported related financial businesses

Reported
  • Banking or thrift institution
  • Insurance company or agency

Reported affiliations are types of related financial businesses as filed. They are not a conflict finding.

A source reports this value. We have not independently confirmed it beyond the cited record.

Current reported relationships

Names appear only as reported on this firm’s Form ADV. They are not standalone public profiles. Name-only or otherwise unconfirmed rows remain internal and are not shown.

Ownership and control

Schedule A is direct ownership. Schedule B is indirect ownership. An executive/control relationship is not the same as ownership.

  • Reported direct owner

    FEIT, ADAM BRIAN

    Individual as reported · Title/status as reported: HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported direct owner

    GERAGHTY, DOUGLAS P

    Individual as reported · Title/status as reported: CHIEF COMPLIANCE OFFICER, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported direct owner

    MCGLYNN, BRIAN JOSEPH

    Individual as reported · Title/status as reported: COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported direct owner

    PAWANI, SHWETA PRABHUDAS

    Individual as reported · Title/status as reported: FINOP/CHIEF FINANCIAL OFFICER

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported direct owner

    PERRY, PHILIP VINCENT

    Individual as reported · Title/status as reported: CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported direct owner

    PITTSEY, MARK ANDREW

    Individual as reported · Title/status as reported: HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported direct owner

    RAFFETTO, RICHARD ALEXANDER

    Individual as reported · Title/status as reported: PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported direct owner

    STERN, SETH WILLIAM

    Individual as reported · Title/status as reported: SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    FEIT, ADAM BRIAN

    Individual as reported · Title/status as reported: HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    GERAGHTY, DOUGLAS P

    Individual as reported · Title/status as reported: CHIEF COMPLIANCE OFFICER, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    MCGLYNN, BRIAN JOSEPH

    Individual as reported · Title/status as reported: COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    PAWANI, SHWETA PRABHUDAS

    Individual as reported · Title/status as reported: FINOP/CHIEF FINANCIAL OFFICER

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    PERRY, PHILIP VINCENT

    Individual as reported · Title/status as reported: CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    PITTSEY, MARK ANDREW

    Individual as reported · Title/status as reported: HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    RAFFETTO, RICHARD ALEXANDER

    Individual as reported · Title/status as reported: PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    STERN, SETH WILLIAM

    Individual as reported · Title/status as reported: SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR

    Reported in Form ADV dated July 28, 2026 · Registered investment adviser filing

Related organizations

No current CRD-linked related organizations are available to display from Form ADV.

Private funds reported by the adviser

Named funds appear only on this adviser profile. InvestorTrustHub does not publish standalone fund pages from this graph.

Item 7.B private-fund count as reported (not a named-fund list) · Item 7.B: No as reported · Count 7.B.(1): 0 · Gross assets as reported: 0

No current named private funds with an official Fund ID are available to display.

Other offices

Branch-numbered offices from current Form ADV filings. Address-only rows remain internal.

  • Location as reported

    Branch number 619917 · Reported in Form ADV dated July 28, 2026

  • Location as reported

    Branch number 815460 · Reported in Form ADV dated July 28, 2026

  • NEWPORT BEACH, CA, 92660 · United States

    Branch number 783613 · Reported in Form ADV dated July 28, 2026

  • WALNUT CREEK, CA, 94596 · United States

    Branch number 870526 · Reported in Form ADV dated July 28, 2026

  • BROOKLYN, NY, 11242 · United States

    Branch number 129940 · Reported in Form ADV dated July 28, 2026

  • WHITE PLAINS, NY, 10601 · United States

    Branch number 874676 · Reported in Form ADV dated July 28, 2026

  • GREAT NECK, NY, 11021 · United States

    Branch number 531009 · Reported in Form ADV dated July 28, 2026

  • NEW YORK, NY, 10022 · United States

    Branch number 624224 · Reported in Form ADV dated July 28, 2026

Showing 8 of 12 currently reported other offices. Additional names remain in the source filing.

Filing history / historical reported relationships

Historical filings are evidence of what was filed, not a restatement of current facts.

Filings in graph

66

RIA 66 · ERA 0

Latest relational filing

July 28, 2026

Registered investment adviser · Other-Than Anual Amendment For Registered Adviser

ADV-W filings

0

Shown as historical evidence only

Recent sec form adv filings
  • 2122415 · July 28, 2026 · RIA · Other-Than Anual Amendment For Registered Adviser · current reported filing
  • 2119691 · July 14, 2026 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 2119366 · July 13, 2026 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 2059924 · March 27, 2026 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 2027721 · November 14, 2025 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1923600 · January 6, 2025 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1903852 · September 26, 2024 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1894434 · August 9, 2024 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1890656 · July 22, 2024 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1865068 · April 10, 2024 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1865069 · April 10, 2024 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1843810 · March 28, 2024 · RIA · Annual Updating Amendment for Registered Adviser · historical filing

Form CRS documents

Official Form CRS mapping/document metadata. InvestorTrustHub does not extract narrative claims from these files.

  • FIRM_CRS_104233_e1d6356e-854c-4de1-93ef-ed10c3a5288b.pdf

    July 28, 2026 · e1d6356e-854c-4de1-93ef-ed10c3a5288b

  • FIRM_CRS_104233_88a21dd7-524b-4f91-8f8f-1826ecc77b7a.pdf

    July 13, 2026 · 88a21dd7-524b-4f91-8f8f-1826ecc77b7a

  • FIRM_CRS_104233_911d6616-3674-460c-bdb3-de9d343f14b3.pdf

    March 27, 2026 · 911d6616-3674-460c-bdb3-de9d343f14b3

  • FIRM_CRS_104233_2188fa7d-a724-4582-8876-e87affb58c0d.pdf

    March 21, 2025 · 2188fa7d-a724-4582-8876-e87affb58c0d

Sources and methodology

Evidence and source details

Material facts on this page are traced to the official SEC/IARD roster. Expand a panel to see source context. Raw 400-column filings are not dumped here.

Source, dataset, and retrieval

Source. U.S. Securities and Exchange Commission / IARD · Registered Investment Advisers (IARD firm roster) · record 104233 · retrieved August 18, 2026

Release: August 3, 2026

Evidence records tied to this firm: 7

Raw source snapshot: present

Source status text (not a consumer endorsement): Approved

What these terms mean

What is an RIA?

A registered investment adviser is a firm whose Form ADV/IARD record reports it as registered with the SEC or, in other contexts, a state. InvestorTrustHub shows what the cited official dataset reports. Registration is a regulatory category, not a quality rating.

What is an Exempt Reporting Adviser?

An Exempt Reporting Adviser files a limited Form ADV report because it qualifies for an exemption from full SEC registration. It is not a registered investment adviser. Exemption from full registration is not a finding of safety, quality, or honesty.

What is a CRD number?

A CRD number is the Central Registration Depository identifier assigned to a firm or individual in the IARD/CRD system. InvestorTrustHub uses the firm CRD as the stable identity key. A CRD is an identifier, not an endorsement.

What is an SEC file number?

An SEC file number (often beginning 801- for registered advisers or 802- for exempt reporting advisers) is an official file identifier in SEC/IARD records. If this source record does not include one, that absence is not proof that no file number exists in another source.

What does “reported as registered” mean?

It means the cited official dataset reports the firm as a registered investment adviser as of the source date. It does not mean InvestorTrustHub or the SEC approved, certified, or recommended the firm.

What does it NOT mean?

Registration does not establish investment quality, performance, honesty, suitability, low risk, fiduciary compliance in every circumstance, or the absence of regulatory problems. Missing research is not a clean record.

What InvestorTrustHub has not researched yet

Absence from this page is not a finding that a record is clean, that no disclosure exists, or that the firm has no associated professionals.

  • Individual professionals associated with this firm
  • FINRA BrokerCheck research
  • Detailed disciplinary history (DRP events)
  • State-specific enforcement records
  • Form ADV Part 2 brochure narrative
  • Standalone public fund or owner profiles
  • Investment performance
  • Portfolio holdings
  • Consumer reviews