AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RB

Robert J. Braglia

AMERICAN FINANCIAL & TAX STRATEGIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 860232
RB

Professional summary

Robert James Braglia is a registered financial advisor currently at AMERICAN FINANCIAL & TAX STRATEGIES, INC. located in New York, New York.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Robert has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Braglia's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 2, 2021 - Present

AMERICAN FINANCIAL & TAX STRATEGIES, INC.

Office #1: 1650 Broadway Suite 1405, New York, NY 10019
RIA
CRD#: 115559
New York, NY
Past

October 25, 2005 - September 30, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
NEW YORK, NY
Past

July 30, 2002 - November 3, 2005

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NEW YORK, NY
Past

October 20, 1980 - November 3, 2005

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

December 1, 1978 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, 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".
AF
AMERICAN FINANCIAL & TAX STRATEGIES, INC.
AMERICAN & FINANCIAL & TAX STRATEGIES, INC. | AMERICAN FINANCIAL & TAX STRATEGIES, INC.

CRD#: 115559 / SEC#: 801-44737

RIA
Registered Investment Advisory firm - (10/6/1993 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(9/2/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/6/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/1/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 11/17/1978
Registered Representative Examination

Current Firm

AF
AMERICAN FINANCIAL & TAX STRATEGIES, INC.
AMERICAN & FINANCIAL & TAX STRATEGIES, INC. | AMERICAN FINANCIAL & TAX STRATEGIES, INC.

CRD#: 115559 / SEC#: 801-44737

RIA
Registered Investment Advisory firm - (10/6/1993 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1650 Broadway Suite 1405, New York, NY 10019
Mailing Address
Phone number
(212) 315-0345
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AMERICAN FINANCIAL & TAX STRATEGIES, INC. FORM ADV PART 2A (11/20/2025)

Regulatory assets under management

Total Number of Accounts588
AUM (Assets Under Management)$ 270,780,857

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.

Company Information

AMERICAN FINANCIAL & TAX STRATEGIES, INC.

CRD#: 115559New York, NY 10019

TRUST BUT VERIFY

Monitor Robert Braglia

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.