Alexander J. Zias

FLAGSTAR ADVISORS

New York, NY 10018

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CRD#: 7173780

Professional summary

Alexander James Zias, who also goes by Alex Zias, Alexander Zias, is a registered financial advisor currently at FLAGSTAR ADVISORS located in New York, New York.

Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Alexander has worked at 2 firms and has passed the Series 66, Series 7TO, SIE, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Zias | Alexander Zias

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) - RIA

Click below to view Alexander James Zias's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alexander James Zias's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 22, 2021 - Present

FLAGSTAR ADVISORS

Office #1: 1400 Broadway 16th Floor, New York, NY, 10018Office #2: 1400 Broadway 16th Floor, New York, NY 10018

RIA

CRD#: 104233

New York, NY

Current

September 22, 2021 - Present

FLAGSTAR ADVISORS

Office #1: 1400 Broadway 16th Floor, New York, NY, 10018Office #2: 1400 Broadway 16th Floor, New York, NY, 10018

RIA

CRD#: 104233

New York, NY

Past

July 7, 2020 - August 10, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

June 4, 2020 - August 10, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(2/28/2025)

California
(1/9/2025)

Colorado
(1/7/2025)

Connecticut
(1/7/2025)

Delaware
(1/13/2025)

District of Columbia
(3/14/2025)

Florida
(9/22/2021)

IAR

Florida
(10/22/2021)

Georgia
(1/24/2025)

Hawaii
(3/12/2025)

Idaho
(1/21/2025)

Illinois
(1/2/2001)

Iowa
(2/6/2025)

Maine
(1/29/2025)

Maryland
(2/20/2025)

Massachusetts
(1/14/2025)

Michigan
(1/21/2025)

Minnesota
(2/20/2025)

Missouri
(2/6/2025)

Montana
(3/6/2025)

Nevada
(1/9/2025)

New Hampshire
(1/22/2025)

New Jersey
(2/5/2025)

New Mexico
(3/12/2025)

New York
(1/7/2025)

IAR

New York
(1/7/2025)

North Carolina
(1/22/2025)

Ohio
(2/6/2025)

Oregon
(1/17/2025)

Pennsylvania
(1/8/2025)

Rhode Island
(1/7/2025)

South Carolina
(1/9/2025)

Virginia
(1/14/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/2/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/4/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/14/2020

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 4

Date: 9/15/2022

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2022

General Securities Principal Examination

SRO Registrations

FINRA

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

Alexander J. Zias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander James Zias's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Alexander James Zias's CRS (Customer Relationship Summary).

Certified licenses

Experience

FLAGSTAR ADVISORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FLAGSTAR ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2020

Series 7TO

Date: 6/4/2020

SIE

Date: 2/14/2020

Series 4

Date: 9/15/2022

Series 24

Date: 3/1/2022

FINRA

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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