FLAGSTAR SECURITIES, INC — 13F Holdings & Portfolio
CIK 1117233 · latest 13F-HR filed 2026-10-15
FLAGSTAR SECURITIES, INC manages $329.7M in 13F-reported U.S. long-equity assets across 184 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (7.47%), QQQ (4.44%), VOO (3.08%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 13 new positions and exited 6; 49 existing positions rose in reported value and 49 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$329.7M
Long-equity book
Holdings
184
Distinct positions
Period
2026-09-30
Filed 2026-10-15
Q/Q Activity
+13 / −6 / ↑49 / ↓49
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26IVV7.5% · -0%QQQ4.4% · -12%VOO3.1% · +53%IJR3.0% · -1%AGG2.7% · +24%DGRO2.2% · -11%IVE1.8% · +6%IVW1.7% · -12%IWF1.7% · -13%VTV1.7% · -1%VIG1.6% · -7%VTI1.6% · -1%IWY1.5% · +1%BLV1.5% · +1%JEPI1.5% · +3%EMLP1.5% · +4%MOAT1.4% · +0%SMH1.3% · -14%FVD1.2% · -2%CIBR1.2% · +7%RDVY1.2% · +5%JEPQ1.2% · +4%MDY1.2% · +2%XLK1.2% · -18%IWM1.1% · +8%IEFA1.1% · +7%VEA1.1% · +32%FPE1.0% · -2%IJH1.0% · +13%IWD1.0% · -0%EFA1.0% · -0%LQD1.0% · +2%IWR1.0% · -0%SPY1.0% · +2%VO1.0% · +90%VB1.0% · +34%IYW0.9% · -29%FTSL0.9% · +0%JHMM0.8% · +1%HEFA0.8% · +42%VYM0.8% · -1%XLP0.8% · +18%BND0.7% · +1%VXUS0.7% · -1%RSP0.7% · +44%PXF0.7% · +2%VPU0.6% · +1%TLT0.6% · +44%DIA0.6% · +2%RODM0.6% · 0%CWB0.6% · +12%XLC0.5% · +13%IEMG0.5% · +70%XAR0.5% · +11%DVY0.5% · +0%USIG0.5% · +35%VNQ0.4% · +6%VOT0.4% · +40%AVEM0.4% · +152%TIP0.4% · +23%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 29.7%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Jul 28, 2026.
Assets Under Management
$784.3M
Discretionary
$784.3M
Employees
37
Accounts
1,123
Address
1400 BROADWAY
16TH FLOOR
NEW YORK, NY 10018
16TH FLOOR
NEW YORK, NY 10018
Phone
(646) 822-1475
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| FEIT, ADAM BRIAN Control | HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR since Sep 2024 | Less than 5% | Individual |
| FLAGSTAR BANK, N.A. Control | SHAREHOLDER since Apr 2023 | 75% or more | Domestic Entity |
| GERAGHTY, DOUGLAS P Control | CHIEF COMPLIANCE OFFICER, DIRECTOR since Sep 2023 | Less than 5% | Individual |
| PAWANI, SHWETA PRABHUDAS Control | FINOP/CHIEF FINANCIAL OFFICER since Sep 2025 | Less than 5% | Individual |
| PITTSEY, MARK ANDREW Control | HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR since Apr 2025 | Less than 5% | Individual |
| RAFFETTO, RICHARD ALEXANDER Control | PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR since Sep 2024 | Less than 5% | Individual |
| STERN, SETH WILLIAM Control | SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR since Sep 2024 | Less than 5% | Individual |
| MCGLYNN, BRIAN JOSEPH | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER since Jan 2009 | Less than 5% | Individual |
| PERRY, PHILIP VINCENT | CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL since Nov 2000 | Less than 5% | Individual |
| FLAGSTAR FINANCIAL, INC. Control Indirect owner via FLAGSTAR BANK, N.A. | SHAREHOLDER since Dec 2022 | 75% or more | Domestic Entity |
Ownership & leadership changes · 13 filings with changes since Mar 16, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Nov 14, 2025 filing
- AddedPAWANI, SHWETA PRABHUDAS · FINOP/CHIEF FINANCIAL OFFICER · Less than 5% · control person
Jul 18, 2025 filing
- No longer listedBIRNBAUM, JASON ALAN · PRESIDENT OF PRIVATE BANK, DIRECTOR · Less than 5% · control person · listed since Sep 2024
- No longer listedMAGUIRE, WILLIAM JOHN JR · CEO, PRESIDENT, DIRECTOR · Less than 5% · control person · listed since Mar 2007
- ChangedPERRY, PHILIP VINCENT · title OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL → CEO, OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL
Apr 8, 2025 filing
- No longer listedROBERTS, JONATHAN HENRY · FINOP/CHIEF FINANCIAL OFFICER, DIRECTOR · Less than 5% · control person · listed since Jan 2013
- AddedPITTSEY, MARK ANDREW · HEAD OF PRIVATE BANKING & WEALTH MANAGEMENT, DIRECTOR · Less than 5% · control person
- ChangedFEIT, ADAM BRIAN · ownership 10–25% → Less than 5%
Feb 28, 2025 filing
- No longer listedNEW YORK COMMUNITY BANCORP, INC. · SHAREHOLDER · 75% or more · indirect via FLAGSTAR BANK, N.A. · control person · listed since Dec 2022
- AddedFLAGSTAR FINANCIAL, INC. · SHAREHOLDER · 75% or more · indirect via FLAGSTAR BANK, N.A. · control person
Sep 26, 2024 filing
- No longer listedDEMARIA, DANIELA · HEAD OF WEALTH MANAGEMENT · Less than 5% · control person · listed since Feb 2024
- No longer listedMARRAZZO, ROSS NMN · DIRECTOR · Less than 5% · control person · listed since Mar 2023
- AddedBIRNBAUM, JASON ALAN · PRESIDENT OF PRIVATE BANK, DIRECTOR · Less than 5% · control person
- AddedFEIT, ADAM BRIAN · HEAD OF SPECIALIZED INDUSTRIES AND CAPITAL MARKETS, DIRECTOR · 10–25% · control person
- AddedRAFFETTO, RICHARD ALEXANDER · PRESIDENT OF COMMERCIAL AND PRIVATE BANKING, DIRECTOR · Less than 5% · control person
- AddedSTERN, SETH WILLIAM · SENIOR DEPUTY GENERAL COUNSEL, DIRECTOR · Less than 5% · control person
- ChangedGERAGHTY, DOUGLAS P · title CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER, DIRECTOR
- ChangedROBERTS, JONATHAN HENRY · title FINOP/CHIEF FINANCIAL OFFICER → FINOP/CHIEF FINANCIAL OFFICER, DIRECTOR
Aug 9, 2024 filing
- No longer listedKAPLAN, ANDREW LYLE · DIRECTOR · Less than 5% · control person · listed since May 2023
Jul 22, 2024 filing
- No longer listedO'KEEFFE, IVOR PATRICK · CHIEF OPERATING OFFICER, DIRECTOR · Less than 5% · control person · listed since Mar 2007
- AddedDEMARIA, DANIELA · HEAD OF WEALTH MANAGEMENT · Less than 5% · control person
Dec 12, 2023 filing
- No longer listedHOWELL, ERIC RAYMOND · DIRECTOR · Less than 5% · control person · listed since Dec 2006
Nov 2, 2023 filing
- No longer listedFRASIER, MICHAEL JOHN · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Feb 2021
- AddedGERAGHTY, DOUGLAS P · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
May 24, 2023 filing
- No longer listedDEPAOLO, JOSEPH JOHN · DIRECTOR · Less than 5% · control person · listed since May 2000
- No longer listedSHAY, SCOTT AARON · CHAIRMAN · Less than 5% · control person · listed since Mar 2007
- No longer listedSIGNATURE BANK · SHAREHOLDER · 75% or more · control person · listed since Mar 2004
- No longer listedTAMBERLANE, JOHN · DIRECTOR · Less than 5% · control person · listed since May 2000
- AddedFLAGSTAR BANK, N.A. · SHAREHOLDER · 75% or more · control person
- AddedKAPLAN, ANDREW LYLE · DIRECTOR · Less than 5% · control person
- AddedMARRAZZO, ROSS NMN · DIRECTOR · Less than 5% · control person
- AddedNEW YORK COMMUNITY BANCORP, INC. · SHAREHOLDER · 75% or more · indirect via FLAGSTAR BANK, N.A. · control person
- ChangedMAGUIRE, WILLIAM JOHN JR · title CEO, PRESIDENT → CEO, PRESIDENT, DIRECTOR
- ChangedO'KEEFFE, IVOR PATRICK · title CHIEF OPERATING OFFICER → CHIEF OPERATING OFFICER, DIRECTOR
Older changes (4 more filings)
Mar 29, 2021 filing
- No longer listedBLECHNER, MYLES REID · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Feb 2018
- AddedFRASIER, MICHAEL JOHN · CHIEF COMPLIANCE OFFICER · Less than 5%
Mar 29, 2018 filing
- No longer listedSHIPLEY-BURNS, CATHERINE MARIE · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Jan 2009
- AddedBLECHNER, MYLES REID · CHIEF COMPLIANCE OFFICER · Less than 5%
Jan 14, 2013 filing
- AddedROBERTS, JONATHAN HENRY · FINOP/CHIEF FINANCIAL OFFICER · Less than 5% · control person
- ChangedDEPAOLO, JOSEPH JOHN · title CHAIRMAN → DIRECTOR
- ChangedHOWELL, ERIC RAYMOND · title CFO/TREASURER → DIRECTOR
- ChangedSHAY, SCOTT AARON · title DIRECTOR → CHAIRMAN
Mar 16, 2012 filing (earliest on record)
- ListedDEPAOLO, JOSEPH JOHN · CHAIRMAN · Less than 5% · control person
- ListedHOWELL, ERIC RAYMOND · CFO/TREASURER · Less than 5% · control person
- ListedMAGUIRE, WILLIAM JOHN JR · CEO, PRESIDENT · Less than 5% · control person
- ListedMCGLYNN, BRIAN JOSEPH · COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER · Less than 5%
- ListedO'KEEFFE, IVOR PATRICK · CHIEF OPERATING OFFICER · Less than 5% · control person
- ListedPERRY, PHILIP VINCENT · OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL · Less than 5%
- ListedSHAY, SCOTT AARON · DIRECTOR · Less than 5% · control person
- ListedSHIPLEY-BURNS, CATHERINE MARIE · CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedSIGNATURE BANK · SHAREHOLDER · 75% or more · control person
- ListedTAMBERLANE, JOHN · DIRECTOR · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- VANGUARD INDEX FDS$3.7M +56.5%
- VANGUARD INDEX FDS$1.5M +85.3%
- ISHARES TR$1.4M +18.8%
- AMERICAN CENTY ETF TR$838.8K +145.1%
- VANGUARD TAX-MANAGED FDS$808.7K +30.5%
Top Trims
- FIDELITY COVINGTON TRUST-$4.1M -89.8%
- DIREXION SHARES ETF TRUST-$3.8M -74.2%
- INVESTMENT MANAGERS SER TR I-$2.1M -89.3%
- INVESCO QQQ TR-$2.0M -11.8%
- VANECK ETF TRUST-$1.0M -19.8%
New Positions
- LEGG MASON ETF INVT$976.6K
- LAZARD ACTIVE ETF TR$931.6K
- VANGUARD SCOTTSDALE FDS$606.3K
- FIDELITY MERRIMACK STR TR$569.9K
- AMERICAN CENTY ETF TR$452.8K
Exited Positions
- ISHARES TR$1.1M
- INVESTMENT MANAGERS SER TR I$693.7K
- ISHARES TR$558.5K
- ISHARES TR$302.1K
- ISHARES TR$225.5K
FLAGSTAR SECURITIES, INC Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | ISHARES TR | IVV | 464287200 | $24.6M | 7.47% | 32,170 | SH |
| 2 | INVESCO QQQ TR | QQQ | 46090E103 | $14.6M | 4.44% | 19,753 | SH |
| 3 | VANGUARD INDEX FDS | VOO | 922908363 | $10.2M | 3.08% | 14,499 | SH |
| 4 | ISHARES TR | IJR | 464287804 | $9.9M | 3.00% | 72,725 | SH |
| 5 | ISHARES TR | AGG | 464287226 | $8.8M | 2.68% | 93,315 | SH |
| 6 | ISHARES TR | DGRO | 46434V621 | $7.1M | 2.17% | 94,793 | SH |
| 7 | ISHARES TR | IVE | 464287408 | $6.0M | 1.82% | 26,271 | SH |
| 8 | ISHARES TR | IVW | 464287309 | $5.6M | 1.69% | 39,243 | SH |
| 9 | ISHARES TR | IWF | 464287614 | $5.6M | 1.69% | 44,375 | SH |
| 10 | VANGUARD INDEX FDS | VTV | 922908744 | $5.5M | 1.68% | 25,581 | SH |
| 11 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $5.4M | 1.64% | 23,232 | SH |
| 12 | VANGUARD INDEX FDS | VTI | 922908769 | $5.2M | 1.57% | 13,799 | SH |
| 13 | ISHARES TR | IWY | 464289438 | $5.1M | 1.54% | 17,210 | SH |
| 14 | VANGUARD BD INDEX FDS | BLV | 921937793 | $5.0M | 1.52% | 80,059 | SH |
| 15 | J P MORGAN EXCHANGE TRADED F | JEPI | 46641Q332 | $5.0M | 1.52% | 89,080 | SH |
| 16 | FIRST TR EXCHANGE-TRADED FD | EMLP | 33738D101 | $4.8M | 1.47% | 117,827 | SH |
| 17 | VANECK ETF TRUST | MOAT | 92189F643 | $4.5M | 1.36% | 42,554 | SH |
| 18 | VANECK ETF TRUST | SMH | 92189F676 | $4.2M | 1.28% | 6,936 | SH |
| 19 | FIRST TR EXCHANGE-TRADED FD | FVD | 33734H106 | $4.1M | 1.25% | 87,704 | SH |
| 20 | FIRST TR EXCHANGE-TRADED FD | CIBR | 33734X846 | $4.0M | 1.21% | 38,672 | SH |
| 21 | FIRST TR EXCHANGE TRADED FD | RDVY | 33738R506 | $4.0M | 1.21% | 50,792 | SH |
| 22 | J P MORGAN EXCHANGE TRADED F | JEPQ | 46654Q203 | $3.9M | 1.20% | 64,469 | SH |
| 23 | STATE STR SPDR S&P MIDCAP 40 | MDY | 78467Y107 | $3.9M | 1.19% | 5,981 | SH |
| 24 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $3.9M | 1.19% | 20,006 | SH |
| 25 | ISHARES TR | IWM | 464287655 | $3.6M | 1.10% | 12,995 | SH |
| 26 | ISHARES TR | IEFA | 46432F842 | $3.6M | 1.09% | 37,211 | SH |
| 27 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $3.5M | 1.05% | 49,014 | SH |
| 28 | FIRST TR EXCH TRADED FD III | FPE | 33739E108 | $3.5M | 1.05% | 202,634 | SH |
| 29 | ISHARES TR | IJH | 464287507 | $3.4M | 1.04% | 47,459 | SH |
| 30 | ISHARES TR | IWD | 464287598 | $3.4M | 1.02% | 13,628 | SH |
| 31 | ISHARES TR | EFA | 464287465 | $3.4M | 1.02% | 32,373 | SH |
| 32 | ISHARES TR | LQD | 464287242 | $3.4M | 1.02% | 32,910 | SH |
| 33 | ISHARES TR | IWR | 464287499 | $3.3M | 1.01% | 31,115 | SH |
| 34 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $3.3M | 1.01% | 4,339 | SH |
| 35 | VANGUARD INDEX FDS | VO | 922908629 | $3.3M | 0.99% | 41,631 | SH |
| 36 | VANGUARD INDEX FDS | VB | 922908751 | $3.2M | 0.98% | 11,315 | SH |
| 37 | ISHARES TR | IYW | 464287721 | $3.0M | 0.91% | 11,319 | SH |
| 38 | FIRST TR EXCHANGE-TRADED FD | FTSL | 33738D309 | $3.0M | 0.91% | 67,093 | SH |
| 39 | JOHN HANCOCK EXCHANGE TRADED | JHMM | 47804J206 | $2.6M | 0.80% | 36,809 | SH |
| 40 | ISHARES TR | HEFA | 46434V803 | $2.6M | 0.79% | 56,445 | SH |
| 41 | VANGUARD WHITEHALL FDS | VYM | 921946406 | $2.6M | 0.79% | 16,847 | SH |
| 42 | SELECT SECTOR SPDR TR | XLP | 81369Y308 | $2.5M | 0.75% | 30,760 | SH |
| 43 | VANGUARD BD INDEX FDS | BND | 921937835 | $2.3M | 0.71% | 33,355 | SH |
| 44 | VANGUARD STAR FDS | VXUS | 921909768 | $2.2M | 0.68% | 26,282 | SH |
| 45 | INVESCO EXCHANGE TRADED FD T | RSP | 46137V357 | $2.2M | 0.67% | 10,621 | SH |
| 46 | INVESCO EXCH TRADED FD TR II | PXF | 46138E743 | $2.2M | 0.67% | 28,918 | SH |
| 47 | VANGUARD WORLD FD | VPU | 92204A876 | $2.0M | 0.60% | 11,579 | SH |
| 48 | ISHARES TR | TLT | 464287432 | $1.9M | 0.59% | 24,873 | SH |
| 49 | STATE STR SPDR DOW JONES IND | DIA | 78467X109 | $1.9M | 0.58% | 3,772 | SH |
| 50 | LATTICE STRATEGIES TR | RODM | 518416102 | $1.9M | 0.58% | 46,868 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-15 | $329.7M | 184 | 0001172661-26-004538 |
| 2026-06-30 | 2026-07-15 | $331.2M | 177 | 0001172661-26-002633 |
| 2026-03-31 | 2026-04-23 | $276.1M | 174 | 0001172661-26-001526 |
| 2026-03-31 | 2026-05-12 | $276.1M | 174 | 0001172661-26-001727 |
| 2025-12-31 | 2026-01-13 | $298.6M | 177 | 0001172661-26-000175 |
Filer Information
Address
1400 BROADWAY, 16TH FLOORNEW YORK, NY 10018
Phone
(646) 822-1409
Filing Manager
FLAGSTAR SECURITIES, INC
New York, NY
Signatory
Philip Perry
Head of Flagstar Broker Dealer