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James Roach

Flagstar Securities, INC.
44 Years of Experience
Sarasota, FL
1 DisclosureBroker
View SEC Summary
View SEC Summary

James Roach is a registered investment advisor at Flagstar Securities, INC., based in Sarasota, FL, with 44 years of industry experience. James 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.

Flagstar Securities, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
28 advisors
Number of Clients
1,123 clients
Average Client Portfolio
$698K average
Assets Under Management
$784.3M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.62%
$1.0M - $5.0M1.10%
$5.0M - $10.0M0.83%
$10.0M - $20.0M0.55%
$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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Sarasota, FL

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History

Regulatory History (1)
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Criminal
July 1986
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a Group Director Investments - Senior Vice President at New York Community Bancorp (NYCB), the parent company for Flagstar Advisors, Inc. This investment-related activity commenced in June 2024 and requires weekly time, including during trading hours.

Employment History
Current Registrations
Flagstar Securities, INC.
October 2003 - Present · 23 yrs
Flagstar Securities, INCBroker
May 2001 - Present · 25 yrs 5 mos
Previous Registrations
Hsbc Brokerage (USA) INC.Broker
June 2000 - May 2001 · 11 mos
Republic Financial Services CorporationBroker
February 1997 - June 2000 · 3 yrs 4 mos
Nathan & Lewis Securities, INC.Broker
September 1992 - January 1997 · 4 yrs 4 mos
Citicorp Investment ServicesBroker
June 1992 - September 1992 · 3 mos
Dollar Dry Dock Investment Services, INC.Broker
November 1990 - May 1992 · 1 yr 6 mos
Murphey Favre, INC.Broker
February 1990 - October 1990 · 8 mos
Great Lakes Equities CO.Broker
August 1988 - December 1989 · 1 yr 4 mos
American Diversified Distributors CORP.Broker
January 1982 - December 1988 · 6 yrs 11 mos
American General Capital Planning, INC.Broker
August 1981 - December 1981 · 4 mos
State Registrations26 states
AZCACOCTFLGAHIIDILKSMAMDMEMONCNENJNMNYOHPASCTNTXUTVA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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