James Joseph Roach

Employer firm

Flagstar Securities, Inc CRD 104233

$784M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Flagstar Securities, Inc

1400 Broadway 16Th Floor, New York, NY 10018 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-01-19
TX	RA	APPROVED_RES	2025-01-08
FL	RA	APPROVED	2003-10-21

NY RA
APPROVED

Since 2025-01-19
TX RA
APPROVED_RES

Since 2025-01-08
FL RA
APPROVED

Since 2003-10-21

Branch Locations

Sarasota, FL • United States

1400 Broadway 16Th Floor, New York, NY 10018 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Flagstar Advisors	New York	NY	07/2001	Present

07/2001 → Present

Flagstar Advisors

New York, NY

Other Businesses

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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-07-10
S63	Uniform Securities Agent State Law Examination	1990-02-23

S65 Uniform Investment Adviser Law Examination

2001-07-10
S63 Uniform Securities Agent State Law Examination

1990-02-23

Other Names

James Joseph Roach

View on SEC IAPD