DG
Douglas P. Geraghty
FLAGSTAR ADVISORS
New York, NY 10018
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CRD#: 6106821
DG
Professional summary
Douglas P Geraghty, CFP®, who also goes by Douglas Paul Geraghty, is a registered financial advisor currently at FLAGSTAR ADVISORS located in New York, New York.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Douglas has worked at 13 firms and has passed the Series 65, Series 63, Series 50, Series 99TO, SIE, Series 52, Series 7, Series 54, Series 14, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas Paul Geraghty
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.) Rental Property; 111 Laurel Ave, Wilmington, DE 19809; Not Investment Related; Landlord; Started 09/01/2018; Devotes 1 hour per month, 0 hours devoted during securities trading hours. 2.) Flagstar Bank, N.A. (NYCB); Investment Related; 102 Duffy Avenue, Hicksville, NY 11801; Employed as Chief Compliance Officer of Flagstar Advisors, Inc.; Chief Compliance Officer - Vice President; Started August 01, 2024; Full time employment.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas P Geraghty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas P Geraghty'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®
CFP®
Start date: 2021
Experience
Current
January 7, 2025 - 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
Current
August 24, 2023 - 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
August 24, 2023 - December 31, 2024
FLAGSTAR ADVISORS
RIA
CRD#: 104233
NEW YORK, NY
Past
January 11, 2023 - August 1, 2023
ARK GLOBAL, LLC
BD
CRD#: 172684
Woodbury, NY
Past
March 21, 2022 - August 1, 2023
VANDERBILT ADVISORY SERVICES
RIA
CRD#: 116537
WOODBURY, NY
Past
March 21, 2022 - August 1, 2023
CONSOLIDATED PORTFOLIO REVIEW CORP
RIA
CRD#: 112694
WOODBURY, NY
Past
March 21, 2022 - August 1, 2023
VANDERBILT SECURITIES, LLC
BD
CRD#: 5953
WOODBURY, NY
Past
March 21, 2022 - August 1, 2023
IMPACTU.INVESTMENTS, LLC
BD
CRD#: 122696
Woodbury, NY
Past
September 12, 2018 - April 1, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
JERICHO, NY
Past
September 10, 2018 - April 1, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
JERICHO, NY
Past
October 10, 2016 - September 7, 2018
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
Wilmington, DE
Past
September 23, 2016 - September 7, 2018
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
MCLEAN, VA
Past
May 27, 2014 - September 22, 2016
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WALTHAM, MA
Past
May 12, 2014 - September 22, 2016
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
November 1, 2013 - May 16, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
December 10, 2012 - May 16, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
MELVILLE, NY
Past
October 4, 2012 - November 20, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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.
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
New York(1/7/2025)
IAR
New York(1/7/2025)
RR
South Dakota(1/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
