JR
James J. Roach
FLAGSTAR ADVISORS
Sarasota, FL
Some features on this profile are disabled
CRD#: 736103
JR
Professional summary
James Joseph Roach III, who also goes by James Joseph Roach, is a registered financial advisor currently at FLAGSTAR ADVISORS located in Sarasota, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. James has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Joseph Roach
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.
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 James Joseph Roach III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Roach III'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
October 21, 2003 - Present
FLAGSTAR ADVISORS
RIA
BD
CRD#: 104233
Sarasota, FL
Current
May 1, 2001 - Present
FLAGSTAR ADVISORS
RIA
BD
CRD#: 104233
Sarasota, FL
Past
June 19, 2000 - May 1, 2001
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
February 4, 1997 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 38293
NEW YORK, NY
Past
September 14, 1992 - January 14, 1997
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
June 11, 1992 - September 15, 1992
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
November 24, 1990 - May 19, 1992
NORTHEAST BROKERAGE SERVICES CORPORATION
BD
CRD#: 26601
Past
February 6, 1990 - October 24, 1990
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
August 29, 1988 - December 6, 1989
GREAT LAKES EQUITIES CO.
BD
CRD#: 16175
Past
January 31, 1982 - December 14, 1988
AMERICAN DIVERSIFIED DISTRIBUTORS CORP.
BD
CRD#: 10245
Past
August 17, 1981 - December 7, 1981
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
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
California(1/10/2025)
RR
Colorado(1/21/2025)
RR
Connecticut(1/17/2025)
RR
Florida(5/1/2001)
IAR
Florida(10/21/2003)
RR
Georgia(1/27/2025)
RR
Hawaii(3/13/2025)
RR
Idaho(1/21/2025)
RR
Illinois(1/2/2001)
RR
Kansas(1/16/2025)
RR
Maine(1/29/2025)
RR
Maryland(2/21/2025)
RR
Massachusetts(1/14/2025)
RR
Missouri(8/26/2025)
RR
New Jersey(2/5/2025)
RR
New Mexico(3/13/2025)
RR
New York(1/19/2025)
IAR
New York(1/19/2025)
RR
North Carolina(1/27/2025)
RR
Ohio(2/10/2025)
RR
Pennsylvania(1/22/2025)
RR
South Carolina(1/21/2025)
RR
Tennessee(8/27/2025)
IAR
Texas(1/8/2025)
RR
Texas(1/24/2025)
RR
Utah(1/8/2025)
RR
Virginia(1/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/14/1978
Registered Representative ExaminationPrincipal/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.
