Charles N. Bowen

SAX WEALTH ADVISORS

Parsippany, NJ 07054

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CRD#: 27154

Professional summary

Charles Norman Bowen is a registered financial advisor currently at SAX WEALTH ADVISORS, LLC located in Parsippany, New Jersey.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Charles has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.

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.

1. 12/31/2008 - DBA ONLY - REDWOOD FINANCIAL, INC. - DARNESTOWN, MD. 2. 2/27/2023 - No Business Name - Investment Related - Corolla, NC - Owner of Real Estate Rental - 1 Hour Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Norman Bowen'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

November 26, 2024 - Present

SAX WEALTH ADVISORS, LLC

Office #1: 389 Interpace Parkway Suite 3, Parsippany, NJ 07054

RIA

CRD#: 119193

Parsippany, NJ

Past

March 5, 2002 - December 5, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

JEFFERSON, MD

Past

February 1, 2002 - December 5, 2024

LPL FINANCIAL LLC

CRD#: 6413

JEFFERSON, MD

Past

January 31, 1980 - February 12, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 2, 1980 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

December 15, 1975 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

August 22, 1974 - January 23, 1977

BRANCH, CABELL & CO., INC.

CRD#: 6820

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".

SAX WEALTH ADVISORS, LLC

SAX WEALTH ADVISORS, LLC | SMF FINANCIAL ADVISORS, LLC

CRD#: 119193 / SEC#: 801-68788

RIA

Registered Investment Advisory firm - (2/28/2008 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

Maryland
(11/26/2024)

IAR

New Jersey
(11/27/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 7/18/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 8/20/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/2002

General Securities Principal Examination

Current Firm

SAX WEALTH ADVISORS, LLC

SAX WEALTH ADVISORS, LLC | SMF FINANCIAL ADVISORS, LLC

CRD#: 119193 / SEC#: 801-68788

RIA

Registered Investment Advisory firm - (2/28/2008 Approved)

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Contact information

Main Address

389 Interpace Parkway Suite 3, Parsippany, NJ 07054

Mailing Address

Phone number

(973) 859-2199

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAX WEALTH ADVISORS, LLC FORM ADV PART 2A (11/3/2025)

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	Cover Page	Report
12/11/2024	Cover Page	Report
01/23/2024	Cover Page	Report
02/21/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Charles N. Bowen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Norman Bowen's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BLYTH EASTMAN DILLON & CO. INCORPORATED

BRANCH, CABELL & CO., INC.

Primary Firm SEC Registration

SAX WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1991

Series 63

Date: 3/23/1981

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 7/18/1977

Series 1

Date: 8/20/1974

Series 24

Date: 3/20/2002

Current Firm

SAX WEALTH ADVISORS, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAX WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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