Charles N. Bowen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Norman Bowen was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2024 - December 8, 2025
SAX WEALTH ADVISORS, LLC
March 5, 2002 - December 5, 2024
LPL FINANCIAL LLC
February 1, 2002 - December 5, 2024
LPL FINANCIAL LLC
January 31, 1980 - February 12, 2002
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 15, 1975 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 22, 1974 - January 23, 1977
BRANCH, CABELL & CO., INC.
Primary Firm SEC Registration
SAX WEALTH ADVISORS, LLC
CRD#: 119193 / SEC#: 801-68788
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 7/18/1977
AMEX Put and Call ExamSeries 1
Date: 8/20/1974
Registered Representative ExaminationCurrent Firm
SAX WEALTH ADVISORS, LLC
CRD#: 119193 / SEC#: 801-68788
Contact information
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,685 |
| AUM (Assets Under Management) | $ 2,440,851,802 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2025 | ||
| 12/11/2024 | ||
| 01/23/2024 | ||
| 02/21/2023 |
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.
