Flagstar Securities, Inc.

Broker-DealerFINRA MemberEst. 2007
Total AUM
$784M
Discretionary
$784M
100% of AUM
Accounts
1,123
Employees
37
Advisory reps
49
Brokerage reps
35

Firm details

Headquarters
New York, New York
CRD number
104233
Registered since
May 10, 2007
Website
www.flagstar.com
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM
Client types
  • HNWI52.27%
  • Individuals29.93%
  • Corporations / Businesses9.04%
  • Pension & Profit Sharing Plans4.85%
  • Charitable Organizations3.81%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Flagstar Securities, Inc. is an insurance-focused broker-dealer and capital allocator that provides financial planning and discretionary portfolio management for individuals, families, small businesses and some institutional clients. Registered with the SEC since 2007, the firm offers advisory work that includes pension consulting and selection of other advisers, alongside insurance brokerage services. Its business mix and industry connections tie it to banking/thrift institutions and insurance companies, and its advisory fee model is based on a percentage of assets under management. The firm is not identified as an ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 77%, Exchange Traded Equities 15%, State & Local Bonds 7%, Derivatives 1%77%
  • Public Funds/Mutual Funds77%
  • Exchange Traded Equities15%
  • State & Local Bonds7%
  • Derivatives1%

Owners & executives

3 of 3
  • Shweta Pawani

    Shweta Pawani

    Chief Financial OfficerCRD 4934669

  • Alexandra Lalbachan

    Alexandra Lalbachan

    Chief Operating OfficerCRD 6049289

  • Douglas Geraghty

    Douglas Geraghty

    Chief Compliance OfficerCRD 6106821

Contacts

3 of 46
  • Brian Schwartz

    Brian Schwartz

    VP, DirectorCRD 4059140

  • Richard Raffetto

    Richard Raffetto

    PresidentCRD 3161430

  • Maria Echeverria

    Maria Echeverria

    Investment Advisory AssociateCRD 6953508

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 227

Active vs passive

$396M in ETFs

Passive

85%

$336M

Active

11%

$60.6M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$24.2M32,2756.10%
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Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
1400 Broadway
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth