FLAGSTAR SECURITIES, INC.

CRD 104233File 801-67767

APPROVED

Retail clients

Filing as of Jul 28, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$784.3M

Above cohort median (national)

Discretionary AUM

$784.3M

Clients

1,123

1,123 accounts

Employees

Below cohort median in NY

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: NYRO
Registration date: May 10, 2007
Principal office: 1400 BROADWAY, 16TH FLOOR, NEW YORK, NY, 10018
Phone: 646-822-1475
Website: https://www.flagstar.com/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $784.3M
Discretionary AUM: $784.3M
Non-discretionary AUM: $0
Discretionary accounts: 1,123
Non-discretionary accounts: 0
Total accounts: 1,123
AUM per client: $698K

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	37	$70.9M
Insurance companies	1	$786K
Charitable organizations	13	$29.9M
High net worth individuals	338	$410.0M
Pension and profit sharing plans	68	$38.0M
Individuals (other than high net worth individuals)	666	$234.8M

Compensation & activities

ADV Items 5E, 5G

Compensation

A percentage of assets under your management

Advisory activities

Financial planning services
Selection of other advisers
Portfolio management for other
Portfolio management for businesses
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Employees	47	37	decreased by10
Apr 1, 2026	Clients	1,571	1,123	decreased by448
Apr 1, 2026	AUM	$1,155,077,972	$784,311,024	decreased by$370,766,948
Apr 1, 2026	Accounts	1,571	1,123	decreased by448
May 1, 2025 vs Oct 1, 2022	Employees	42	47	increased by5
May 1, 2025 vs Oct 1, 2022	Clients	1,964	1,571	decreased by393
May 1, 2025 vs Oct 1, 2022	AUM	$1,095,258,974	$1,155,077,972	increased by$59,818,998
May 1, 2025 vs Oct 1, 2022	Accounts	1,964	1,571	decreased by393
Apr 1, 2022	Clients	895	1,964	increased by1,069
Apr 1, 2022	AUM	$811,341,329	$1,095,258,974	increased by$283,917,645
Apr 1, 2022	Accounts	1,727	1,964	increased by237
Apr 1, 2021	Registration	—	APPROVED

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “FLAGSTAR SECURITIES” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FLAGSTAR SECURITIES” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.