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CRD 104233
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| SALIM NAZKANI | n/a | New York, NY | 22 | 40 | n/a | yes |
| JAMES JOSEPH ROACH | n/a | NEW YORK, NY | Sarasota, FL | 22 | 36 | n/a | yes |
| BRIAN JOSEPH MCGLYNN | n/a | New York, NY | 19 | 24 | 1 | yes |
| ANTHONY COSIMO FICORILLI | n/a | New York, NY | 17 | 31 | n/a | yes |
| WILLIAM GAVIN PHELAN | n/a | New York, NY | NEW YORK, NY | 16 | 32 | n/a | yes |
| Alexander James Zias | n/a | New York, NY | NEW YORK, NY | 4 | 10 | 1 | yes |
| ROBERT JOHN VESSECCHIA | n/a | New York, NY | 1 | 36 | n/a | yes |
| SCOTT MICHAEL WEINFELD | n/a | Greenwich, CT | White Plains, NY | 1 | 36 | n/a | yes |
| PHILIP VINCENT PERRY | n/a | GREAT NECK, NY | BROOKLYN, NY | New York, NY | 1 | 35 | n/a | yes |
| ALEXANDER LEON | n/a | BROOKLYN, NY | NEW YORK, NY | 1 | 32 | 2 | yes |
| STEPHEN CARL FARINACCI | n/a | New York, NY | NEW YORK, NY | 1 | 32 | 2 | yes |
| MICHAEL EDWARD SANTUCCI | n/a | GREAT NECK, NY | 1 | 30 | 1 | yes |
| NOREEN KERRY DORRIAN | n/a | White Plains, NY | 1 | 24 | n/a | yes |
| BRIAN DAVID SCHWARTZ | n/a | Melville, NY | New York, NY | NEW YORK, NY | 1 | 26 | 1 | yes |
| DARREN CASTILLO | n/a | BROOKLYN, NY | 1 | 14 | n/a | yes |
| DOUGLAS P GERAGHTY | Certified Financial Planner | NEW YORK, NY | New York, NY | 1 | 14 | 6 | yes |
| ANDREW M SMITH | n/a | Palo Alto, CA | Beverly Hills, CA | Newport Beach, CA | 1 | 13 | 1 | yes |
| Peter Bruno | n/a | NEW YORK, NY | New York, NY | 1 | 10 | 4 | yes |
| MATTHEW HEALEY | n/a | NEW YORK, NY | New York, NY | 1 | 12 | n/a | yes |
| MARIA INES ECHEVERRIA | n/a | Beverly Hills, CA | 1 | 11 | 1 | yes |
| MARK ANDREW PITTSEY | n/a | Walnut Creek, CA | New York, NY | 1 | 34 | 3 | yes |
| Carly Doshi | n/a | NEW YORK, NY | New York, NY | 1 | 10 | 2 | yes |
| RICHARD ANTHONY PETROSKY | n/a | New York, NY | NEW YORK, NY | 0 | 34 | 1 | yes |
| ROMAN YAKUBOV | n/a | New York, NY | 0 | 25 | 5 | yes |
| ELISE KLARFELD ORNSTEIN | n/a | New York, NY | 0 | 22 | n/a | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BIRNBAUM, JASON ALAN | PRESIDENT OF PRIVATE BANK, DIRECTOR | Na | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| FEIT, ADAM BRIAN | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR | B | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| FLAGSTAR BANK, N.A. | Shareholder | E | yes | 04/2023 | May 24, 2023 | Sep 26, 2024 |
| GERAGHTY, DOUGLAS P | CHIEF COMPLIANCE OFFICER, DIRECTOR | Na | yes | 09/2023 | Nov 2, 2023 | Sep 26, 2024 |
| MAGUIRE, WILLIAM JOHN JR | CEO, PRESIDENT, DIRECTOR | Na | yes | 03/2007 | Mar 16, 2012 | Sep 26, 2024 |
| NEW YORK COMMUNITY BANCORP, INC. | Shareholder | E | yes | 12/2022 | May 24, 2023 | Sep 26, 2024 |
| RAFFETTO, RICHARD ALEXANDER | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR | Na | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| ROBERTS, JONATHAN HENRY | FINOP/CHIEF FINANCIAL OFFICER, DIRECTOR | Na | yes | 01/2013 | Jan 14, 2013 | Sep 26, 2024 |
| STERN, SETH WILLIAM | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR | Na | yes | 09/2024 | Sep 26, 2024 | Sep 26, 2024 |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | Na | no | 01/2009 | Mar 16, 2012 | Sep 26, 2024 |
| PERRY, PHILIP VINCENT | OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | Na | no | 11/2000 | Mar 16, 2012 | Sep 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| DOUGLAS INSURANCE AGENCY, INC. | n/a | n/a | n/a | N | yes | n/a |
| FLAGSTAR BANK N.A. | n/a | n/a | n/a | Y | no | n/a |
| GRASS LAKE INSURANCE AGENCY, INC | n/a | n/a | n/a | N | yes | n/a |
| NEW YORK COMMUNITY BANK | n/a | n/a | n/a | Y | no | n/a |
| NYCB INSURANCE AGENCY, INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| BEVERLY HILLS | CA | United States | 4 | yes |
| Brooklyn | NY | United States | 3 | yes |
| JACKSON HEIGHTS | NY | United States | 2 | yes |
| NEW ROCHELLE | NY | United States | 2 | yes |
| NEWPORT BEACH | CA | United States | 1 | yes |
| WOODLAND HILLS | CA | United States | 1 | yes |
| Greenwich | Ct | United States | 1 | yes |
| Sarasota | FL | United States | 1 | yes |
| Brooklyn | NY | United States | 1 | yes |
| GARDEN CITY | NY | United States | 1 | yes |
| GREAT NECK | NY | United States | 1 | yes |
| Melville | NY | United States | 1 | yes |
| NEW YORK | NY | United States | 1 | yes |
| NEW YORK | NY | United States | 1 | yes |
| NEW YORK | NY | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $784M | $784M | 37 | 37 | 12 | n/a | n/a |
| 2024 | Apr 8, 2025 | $1.2B | $1.2B | 47 | 47 | 17 | n/a | n/a |
| 2023 | Mar 28, 2024 | $967M | $967M | 49 | 49 | 16 | n/a | n/a |
| 2022 | Mar 31, 2023 | $940M | $940M | 46 | 46 | 16 | n/a | n/a |
| 2021 | Mar 18, 2022 | $1.1B | $1.1B | 42 | 41 | 15 | n/a | n/a |
| 2020 | Mar 29, 2021 | $811M | $811M | 42 | 41 | 15 | n/a | n/a |
| 2019 | Mar 30, 2020 | $680M | $680M | 41 | 41 | 12 | n/a | n/a |
| 2018 | Mar 28, 2019 | $594M | $594M | 40 | 40 | 17 | n/a | n/a |
| 2017 | Mar 29, 2018 | $542M | $542M | 38 | 38 | 19 | n/a | n/a |
| 2016 | Mar 29, 2017 | $433M | $433M | 43 | 22 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $356M | $356M | 40 | 19 | n/a | n/a | n/a |
| 2014 | Mar 2, 2015 | $350M | $350M | 44 | 17 | n/a | n/a | n/a |
| 2013 | Mar 18, 2014 | $305M | $296M | 36 | 17 | n/a | n/a | n/a |
| 2012 | Mar 8, 2013 | $226M | $222M | 33 | 17 | n/a | n/a | n/a |
| 2011 | Mar 16, 2012 | $216M | $209M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 7 | -2 | 24.1% | 3 | 2 | 0 | 16 | 15 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $784M | $1.2B | -32.1% | $940M | -5.9% | 37 | 47 | 12 | 17 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CITIZENS SECURITIES, INC. | 4 | Jun 26, 2025 | Jun 24, 2025 | NEW YORK, NY | Team lift out | RIA to ibd | 11.8% |
| CADARET GRANT & CO INC | 4 | Jun 1, 2023 | May 30, 2023 | GARDEN CITY, NY | Team lift out | RIA to ibd | 16.7% |