Andrew L. Kaplan
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2023 - August 15, 2024
FLAGSTAR ADVISORS
October 16, 2008 - April 27, 2023
LPL FINANCIAL LLC
June 21, 2006 - September 2, 2008
ESSEX NATIONAL SECURITIES, LLC
October 5, 2005 - June 21, 2006
PFIC SECURITIES CORPORATION
February 20, 1997 - October 5, 2005
FISERV INVESTOR SERVICES, INC.
September 26, 1994 - January 27, 1997
CONSECO SECURITIES, INC.
May 18, 1994 - September 14, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - August 29, 1994
CITICORP INVESTMENT SERVICES
November 8, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
June 14, 1990 - November 6, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
December 6, 1989 - April 11, 1990
GLOBAL CAPITAL SECURITIES, INC.
May 1, 1989 - November 18, 1989
WILLIAM M. CADDEN & CO., INC.
February 2, 1989 - March 10, 1989
INVESTORS CENTER, INC.
October 26, 1987 - November 5, 1988
J. T. MORAN & CO., INC.
August 27, 1987 - November 3, 1987
MORGAN STANLEY DW INC.
May 21, 1987 - September 1, 1987
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 5/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
FLAGSTAR ADVISORS
CRD#: 104233 / SEC#: 801-67767, 8-52697
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLAGSTAR BANK, N.A. | SHAREHOLDER | |
| FEIT, ADAM BRIAN | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR | 3261251 |
| GERAGHTY, DOUGLAS P | CHIEF COMPLIANCE OFFICER, DIRECTOR | 6106821 |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | 4463942 |
| PAWANI, SHWETA PRABHUDAS | FINOP/CHIEF FINANCIAL OFFICER | 4934669 |
| PERRY, PHILIP VINCENT | CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | 2120399 |
| PITTSEY, MARK ANDREW | HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR | 2226562 |
| RAFFETTO, RICHARD ALEXANDER | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR | 3161430 |
| STERN, SETH WILLIAM | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR | 7987857 |
Regulatory assets under management
| Total Number of Accounts | 1,571 |
| AUM (Assets Under Management) | $ 1,155,077,972 |
Disclosures
| Arbitration | 1 |
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.
