JD
Joseph J. Diventi
FLAGSTAR ADVISORS
New York, NY 10018
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CRD#: 4363810
JD
Professional summary
Joseph John Diventi, who also goes by Joseph John Diventi, Joe Diventi, Joseph Diventi, is a registered financial professional currently at FLAGSTAR ADVISORS located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph John Diventi | Joe Diventi | Joseph Diventi
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph John Diventi'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
February 12, 2024 - 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
November 6, 2017 - June 25, 2020
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
July 27, 2015 - October 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
October 17, 2014 - October 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
April 9, 2013 - January 24, 2014
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
NEW YORK, NY
Past
October 1, 2008 - July 27, 2011
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 11, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
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
General Industry/Product Exam
RR
Series 7TO
Date: 2/8/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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