AS
Andrew M. Smith
FLAGSTAR ADVISORS
Beverly Hills, CA 90212
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CRD#: 6178197
AS
Professional summary
Andrew M Smith is a registered financial advisor currently at FLAGSTAR ADVISORS located in Beverly Hills, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Andrew has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.) I own a business called The Master of Coin LLC located at 418 Main St, Newcastle CA 95658. The business is non-investment related. The business is an ecommerce platform where we sell collectibles. I own the business with one other member. The business started on 1/25/2020. I will spend about 10 hours a month devoted to the business on weekends only. I do not devote any time to this business during security trading hours. I am responsible for purchasing, listing and other back office duties. 2.) New York Community Bancorp (NYCB - 102 Duffy Avenue, Hicksville, NY 11801) is the parent company for Flagstar Advisors, Inc. As such, NYCB (or its affiliates) may pay compensation to the representative including, but not limited to, cash bonuses, equity incentives, and/or referral fees. Title: Group Director Investments - Senior Vice President. Activity is investment related and commenced on 6-1-24. Approximate time required: weekly, includes during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew M Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew M Smith'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 7, 2025 - Present
FLAGSTAR ADVISORS
Office #1: 9665 Wilshire Boulevard Suite 250, Beverly Hills, CA 90212Office #2: 600 Ramona St., Suite 200, Palo Alto, CA 94301RIA
BD
CRD#: 104233
Beverly Hills, CA
Current
July 26, 2021 - Present
FLAGSTAR ADVISORS
Office #1: 9665 Wilshire Boulevard Suite 250, Beverly Hills, CA 90212Office #2: 600 Ramona St., Suite 200, Palo Alto, CA 94301RIA
BD
CRD#: 104233
Beverly Hills, CA
Past
July 26, 2021 - December 31, 2024
FLAGSTAR ADVISORS
RIA
CRD#: 104233
Woodland Hills, CA
Past
July 7, 2017 - July 26, 2021
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
San Francisco, CA
Past
July 27, 2016 - July 26, 2021
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
San Francisco, CA
Past
April 19, 2013 - July 30, 2014
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
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
Arizona(2/28/2025)
IAR
California(1/8/2025)
RR
California(1/9/2025)
RR
Colorado(1/7/2025)
RR
Connecticut(1/7/2025)
RR
Delaware(8/26/2025)
RR
Florida(3/11/2025)
RR
Idaho(8/26/2025)
RR
Illinois(8/26/2025)
RR
Maryland(8/26/2025)
RR
Massachusetts(3/27/2025)
RR
Nevada(1/9/2025)
RR
New Jersey(2/5/2025)
RR
New Mexico(3/12/2025)
RR
New York(1/7/2025)
IAR
New York(1/7/2025)
RR
North Carolina(8/26/2025)
RR
Oregon(8/26/2025)
RR
Pennsylvania(8/26/2025)
RR
Texas(1/23/2025)
RR
Vermont(2/6/2025)
RR
Washington(3/11/2025)
RR
Wyoming(3/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
