MT
Michael N. Taglich
TAGLICH BROTHERS
Cold Spring Harbor, NY 11724
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CRD#: 1343730
MT
Professional summary
Michael Nicholas Taglich is a registered financial professional currently at TAGLICH BROTHERS, INC. located in Cold Spring Harbor, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 28, Series 24, Series 27 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Nicholas Taglich's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 30, 1992 - Present
TAGLICH BROTHERS, INC.
Office #1: 37 Main Street, Cold Spring Harbor, NY 11724Office #2: 37 Main Street, Cold Spring Harbor, NY 11724RIA
BD
CRD#: 29102
Cold Spring Harbor, NY
Past
June 15, 1987 - February 7, 1992
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
Past
December 1, 1986 - June 30, 1987
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
October 17, 1985 - December 4, 1986
ROONEY, PACE INC.
BD
CRD#: 6218
Past
May 9, 1985 - October 23, 1985
KUHNS BROTHERS & LAIDLAW, INC.
BD
CRD#: 1481
Past
February 21, 1985 - March 18, 1985
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TB
TAGLICH BROTHERS, INC.
MICHAEL N. TAGLICH, B/D | TAGLICH BROTHERS, INC. | TAGLICH BROTHERS, D'AMADEO, WAGNER & CO., INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/5/1992)
RR
Alaska(10/20/1992)
RR
Arizona(6/19/1992)
RR
Arkansas(6/11/1992)
RR
California(2/25/1992)
RR
Colorado(1/30/1992)
RR
Connecticut(3/17/1992)
RR
Delaware(4/7/1992)
RR
District of Columbia(1/31/1992)
RR
Florida(2/26/1992)
RR
Georgia(2/18/1992)
RR
Hawaii(8/19/2014)
RR
Idaho(6/9/1994)
RR
Illinois(2/14/1992)
RR
Indiana(3/25/1992)
RR
Iowa(5/20/1992)
RR
Kansas(3/19/1992)
RR
Kentucky(6/25/1992)
RR
Louisiana(3/9/1992)
RR
Maine(2/2/1994)
RR
Maryland(2/13/1992)
RR
Massachusetts(4/27/1992)
RR
Michigan(10/13/1992)
RR
Minnesota(7/14/1992)
RR
Mississippi(2/26/1992)
RR
Missouri(4/8/1992)
RR
Montana(3/8/1994)
RR
Nebraska(6/24/1992)
RR
Nevada(3/12/1992)
RR
New Hampshire(10/21/1992)
RR
New Jersey(5/20/1992)
RR
New Mexico(8/10/1994)
RR
New York(1/27/1992)
RR
North Carolina(2/18/1992)
RR
North Dakota(9/30/1994)
RR
Ohio(2/3/1992)
RR
Oklahoma(3/16/1992)
RR
Oregon(5/4/1992)
RR
Pennsylvania(4/23/1992)
RR
Rhode Island(2/12/1992)
RR
South Carolina(3/20/1992)
RR
South Dakota(5/5/1993)
RR
Tennessee(6/16/2022)
RR
Texas(4/28/1992)
RR
Utah(10/13/1993)
RR
Vermont(8/28/1992)
RR
Virginia(6/24/1992)
RR
Washington(4/23/1992)
RR
West Virginia(3/26/1992)
RR
Wisconsin(3/4/1992)
RR
Wyoming(9/23/1993)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TB
TAGLICH BROTHERS, INC.
MICHAEL N. TAGLICH, B/D | TAGLICH BROTHERS, INC. | TAGLICH BROTHERS, D'AMADEO, WAGNER & CO., INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
37 Main Street, Cold Spring Harbor, NY 11724
Mailing Address
37 Main Street, Cold Spring Harbor, NY 11724
Phone number
(631) 757-1500
Established
New York since 11/25/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (1 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 45,136,551 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
