KV
Karli Vazquez-mendez
FLAGSTAR ADVISORS
West Palm Beach, FL 33401
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CRD#: 5423106
KV
Professional summary
Karli Vazquez-mendez, who also goes by Karli Vazquez-mendez, is a registered financial advisor currently at FLAGSTAR ADVISORS located in West Palm Beach, Florida.
Karli is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Karli has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karli Vazquez-Mendez
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.
1) Flagstar Bank, N.A. (NYCB); Investment Related; 102 Duffy Avenue, Hicksville, NY 11801; Employed as Group Director - Senior Vice President of Flagstar Advisors, Inc.;Started December 13, 2024; Full time Employment. 2) Acorn Care LLC; Non Investment Related; 1101 SE 2nd Street, Fort Lauderdale, FL 33301-3612; I conduct freelancebudget consulting for elder care; Started September 2, 2024; 15 hours per month. 3) KVM LLC; Non Investment Related, 1101 SE 2nd Street, Fort Lauderdale, FL 33301-3612; I own a rental apartment; (2) rental cars, and play violin events; Started July 11, 2023; 10 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Karli Vazquez-mendez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karli Vazquez-mendez'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 22, 2025 - Present
FLAGSTAR ADVISORS
Office #1: 515 North Flagler Drive Suite P300, West Palm Beach, FL 33401RIA
BD
CRD#: 104233
West Palm Beach, FL
Current
January 20, 2025 - Present
FLAGSTAR ADVISORS
Office #1: 1400 Broadway 16th Floor, New York, NY, 10018RIA
BD
CRD#: 104233
New York, NY
Past
September 7, 2022 - June 22, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
Boca Raton, FL
Past
August 17, 2022 - June 22, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
Boca Raton, FL
Past
May 7, 2018 - July 15, 2022
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
Fort Lauderdale, FL
Past
May 4, 2018 - July 15, 2022
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Fort Lauderdale, FL
Past
May 6, 2014 - April 10, 2018
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
May 1, 2014 - April 10, 2018
MORGAN STANLEY
BD
CRD#: 149777
BOCA RATON, FL
Past
September 1, 2010 - May 23, 2014
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BOCA RATON, FL
Past
August 31, 2010 - May 23, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BOCA RATON, FL
Past
September 2, 2008 - August 24, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTON, FL
Past
April 10, 2008 - August 24, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTON, FL
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
RR
Florida(1/21/2025)
IAR
Florida(1/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
