Peter M. Carbone

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CRD#: 3244149

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.

Peter Michael Carbone JR, who also goes by Peter Michael Carbone, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2000. Peter had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter Michael Carbone

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

September 17, 2024 - February 6, 2026

FLAGSTAR ADVISORS

CRD#: 104233

New York, NY

Past

March 5, 2021 - April 10, 2024

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

LOS ANGELES, CA

Past

December 6, 2018 - August 4, 2020

CITIZENS CAPITAL MARKETS

CRD#: 277073

BOSTON, MA

Past

April 15, 2013 - June 15, 2017

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

June 11, 2008 - June 9, 2011

CITIZENS SECURITIES, INC.

CRD#: 39550

PROVIDENCE, RI

Past

October 20, 2004 - February 20, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LINCOLN, RI

Past

March 5, 2001 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 18, 2000 - March 5, 2001

SURETRADE INC.

CRD#: 43625

LINCOLN, RI

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".

FLAGSTAR ADVISORS

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/6/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/20/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 7/12/2001

Registered Options Principal Examination

Current Firm

FLAGSTAR ADVISORS

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)

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

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

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

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

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.

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Advisor Monitoring

Firm Stability Insights

Peter M. Carbone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

CITIZENS CAPITAL MARKETS

SANTANDER SECURITIES LLC

CITIZENS SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

SURETRADE INC.

Primary Firm SEC Registration

FLAGSTAR ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2000

SIE

Date: 6/15/2017

Series 7

Date: 2/17/2000

Series 10

Date: 3/6/2003

Series 9

Date: 12/20/2002

Series 4

Date: 7/12/2001

Current Firm

FLAGSTAR ADVISORS

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FLAGSTAR ADVISORS

TRUST BUT VERIFY

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