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Brian David Schwartz

Flagstar Advisors

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About Brian David Schwartz

Brian Schwartz is an Investment Advisor Representative and registered with Flagstar Advisors. Brian has been in the industry since 1999. Brian has been registered with multiple firms over the years, including HSBC Securities (USA) Inc., HSBC Brokerage (USA) Inc. and PHD Capital. Brian is also a registered Principal with Flagstar Advisors. Brian is currently registered with the following states: New York and Texas.

Firm Information

Brian Schwartz is currently registered with Flagstar Advisors. Flagstar Advisors is an investment advisor headquartered in New York, NY. The firm was formed in May 2000 and has 30 licensed agents, 36 investment advisor representatives, and 45 registered representatives. The firm primarily advises individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and individuals other than high-net-worth. Flagstar Advisors offers investment advisory services including portfolio management for businesses, individuals, and pension consulting. The firm also provides selection of other advisors. Flagstar Advisors manages over $966 million in discretionary assets for 1,588 accounts. They are registered with the SEC and in all 52 states and are a participant in the FINRA arbitration forum.
Flagstar Advisors

1400 BROADWAY

NEW YORK, NY 10018

$966.65M

Assets Under Management

Not reported

Total Clients

43

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Brian Schwartz’s Registration & Firm History

NY

08/05/2022 - Present

Flagstar Advisors (New York NY)

NY

01/01/2005 - 10/19/2020

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

04/11/2003 - 01/01/2005

HSBC BROKERAGE (USA) INC. (NEW YORK NY)

NY

12/21/1999 - 04/02/2003

PHD CAPITAL (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/07/2013

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 02/23/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/29/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/30/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/30/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/05/2001

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/16/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Brian David Schwartz. Review regulatory record here.
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