AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why Advisor Check
AK

Andrew L. Kaplan

Some features on this profile are disabled
CRD#: 1665353
AK

Professional summary


Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andrew Lyle Kaplan was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1987. Andrew had worked at 15 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

May 2, 2023 - August 15, 2024

FLAGSTAR ADVISORS

BD
CRD#: 104233
New York, NY
Past

October 16, 2008 - April 27, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
HICKSVILLE, NY
Past

June 21, 2006 - September 2, 2008

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
GARDEN CITY, NY
Past

October 5, 2005 - June 21, 2006

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
FRANKLIN, TN
Past

February 20, 1997 - October 5, 2005

FISERV INVESTOR SERVICES, INC.

BD
CRD#: 34637
HOUSTON, TX
Past

September 26, 1994 - January 27, 1997

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

May 18, 1994 - September 14, 1994

FINANCIAL HORIZONS SECURITIES CORPORATION

BD
CRD#: 20221
Past

June 1, 1992 - August 29, 1994

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

November 8, 1990 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

BD
CRD#: 14675
Past

June 14, 1990 - November 6, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

BD
CRD#: 20221
Past

December 6, 1989 - April 11, 1990

GLOBAL CAPITAL SECURITIES, INC.

BD
CRD#: 13358
Past

May 1, 1989 - November 18, 1989

WILLIAM M. CADDEN & CO., INC.

BD
CRD#: 16363
Past

February 2, 1989 - March 10, 1989

INVESTORS CENTER, INC.

BD
CRD#: 14670
HAUPPAGUE, NY
Past

October 26, 1987 - November 5, 1988

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

August 27, 1987 - November 3, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 21, 1987 - September 1, 1987

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

Primary Firm SEC Registration


This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FA
FLAGSTAR ADVISORS
FLAGSTAR ADVISORS | SIGNATURE SECURITIES GROUP CORPORATION | SIGNATURE SECURITIES GROUP CORP. | SIGNATURE SECURITIES | FLAGSTAR ADVISORS, INC. | FLAGSTAR ADVISORS INC

CRD#: 104233 / SEC#: 801-67767, 8-52697

RIA
Registered Investment Advisory firm - SEC (5/10/2007 Approved)
Florida
Registered Investment Advisory firm - SEC (5/14/2007 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (5/14/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
RR
Series 63
Date: 5/27/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 5/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam

Current Firm


FA
FLAGSTAR ADVISORS
FLAGSTAR ADVISORS | SIGNATURE SECURITIES GROUP CORPORATION | SIGNATURE SECURITIES GROUP CORP. | SIGNATURE SECURITIES | FLAGSTAR ADVISORS, INC. | FLAGSTAR ADVISORS INC

CRD#: 104233 / SEC#: 801-67767, 8-52697

RIA
Registered Investment Advisory firm - SEC (5/10/2007 Approved)
Florida
Registered Investment Advisory firm - SEC (5/14/2007 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (5/14/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
1400 Broadway 16th Floor 16th Floor, New York, NY, 10018
Mailing Address
1400 Broadway 16th Floor, New York, NY, 10018
Phone number
(646) 822-1475
Established
New York since 05/26/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
47

SEC notice filing (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FLAGSTAR ADVISORS, INC. PART 2A BROCHURE (2/28/2025)

Direct owners and executive officers


NamePositionCRD#
FLAGSTAR BANK, N.A.SHAREHOLDER
FEIT, ADAM BRIANHEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR3261251
GERAGHTY, DOUGLAS PCHIEF COMPLIANCE OFFICER, DIRECTOR6106821
MCGLYNN, BRIAN JOSEPHCOMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER4463942
PAWANI, SHWETA PRABHUDASFINOP/CHIEF FINANCIAL OFFICER4934669
PERRY, PHILIP VINCENTCEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL2120399
PITTSEY, MARK ANDREWHEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR2226562
RAFFETTO, RICHARD ALEXANDERPRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR3161430
STERN, SETH WILLIAMSENIOR DEPUTY GENERAL COUNSEL, DIRECTOR7987857

Regulatory assets under management


Total Number of Accounts1,571
AUM (Assets Under Management)$ 1,155,077,972

Disclosures


Arbitration1

Red Flags


Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


FLAGSTAR ADVISORS

CRD#: 104233

TRUST BUT VERIFY

Monitor Andrew Kaplan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics