RO
Richard C. Oh
TAGLICH BROTHERS
Cold Spring Harbor, NY 11724
Some features on this profile are disabled
CRD#: 2666196
RO
Professional summary
Richard C Oh is a registered financial professional currently at TAGLICH BROTHERS, INC. located in Cold Spring Harbor, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 1 firm and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 4 and Series 24 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 Richard C Oh'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
December 12, 1995 - 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
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
California(9/24/1997)
RR
Connecticut(1/24/1997)
RR
Florida(7/7/2003)
RR
Illinois(6/17/2005)
RR
New Jersey(5/10/2023)
RR
New York(3/12/1996)
RR
South Carolina(6/13/2024)
RR
Vermont(5/10/2023)
Exams
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
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
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