Brian Schwartz
Brian Schwartz is a registered investment advisor at Flagstar Securities, INC., based in New York, NY, with 26 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,123 clients with $780M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.62% |
| $1.0M - $5.0M | 1.10% |
| $5.0M - $10.0M | 0.83% |
| $10.0M - $20.0M | 0.55% |
| $20M+ | 0.43% |
Rates combine the maximum advisory fee and sponsor fee. Third-party manager fees (0.25% to 1.25%) are additional.
Fee Estimator
Location
1400 Broadway, 16th Floor, New York, NY, 10018
Get directionsHistory
Regulatory History (4)
Customer Dispute
May 2019Customer Dispute
July 2017Customer Dispute
August 2005Customer Dispute
April 2005Other Business Activities
Brian is a Group Director Investments - Senior Vice President at New York Community Bancorp (NYCB), the parent company for Flagstar Advisors, Inc. The activity is investment related and requires weekly time, including during trading hours.
Employment History
Current Registrations
Flagstar Securities, INC.
Flagstar Securities, INCBroker
Previous Registrations
Flagstar Advisors, INC.
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Hsbc Brokerage (USA) INC.Broker
PHD CapitalBroker
State Registrations19 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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