WP
William G. Phelan
FLAGSTAR ADVISORS
New York, NY 10018
Some features on this profile are disabled
CRD#: 2505404
WP
Professional summary
William Gavin Phelan, who also goes by Bill Phelan, Will Phelan, is a registered financial advisor currently at FLAGSTAR ADVISORS located in New York, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. William has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 25, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Phelan | Will Phelan
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.
*name and address of the other business:
WGPhelan Fine Art Photography LLC
7 Hillcrest Road
Kearny, NJ 07032
*the nature of the other business, including whether it is investment-related:
Retailing of photographs I have taken.
*your position, title, or association with the other business, including your duties:
President and sole owner of the entity. Duties include taking pictures and editing the same as well as printing (and delivering) pictures.
*the start date of your relationship with the other business:
09/19/2017
*the approximate number of hours per month you devote to the other business:
At this time, up to 25 hours per month.
*the number of hours you devote to the other business during securities trading hours:
None
CRS (Client Relationship Summary) - RIA
Click below to view William Gavin Phelan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Gavin Phelan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 4, 2010 - Present
FLAGSTAR ADVISORS
Office #1: 1400 Broadway 7th Floor, New York, NY, 10018RIA
BD
CRD#: 104233
New York, NY
Current
November 17, 2009 - Present
FLAGSTAR ADVISORS
Office #1: 1400 Broadway 16th Floor, New York, NY 10018Office #2: 1400 Broadway 16th Floor, New York, NY, 10018RIA
BD
CRD#: 104233
New York, NY
Past
May 29, 2007 - April 27, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 14, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEW YORK, NY
Past
January 2, 2002 - December 9, 2002
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
Past
May 9, 2001 - January 2, 2002
HENDERSON BROTHERS, INC.
BD
CRD#: 2171
NEW YORK, NY
Past
July 23, 1997 - May 16, 2001
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 17, 1996 - September 3, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
June 14, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
August 11, 1994 - March 6, 1996
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Florida(1/4/2010)
RR
New York(1/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 2/19/2002
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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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)
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.
