Stuart B. Herrmann

Some features on this profile are disabled

CRD#: 4310681

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.

Stuart B Herrmann, CFP®, who also goes by Stu Herrmann, was a registered financial professional .

Stuart is a previously registered financial professional and started their career in finance in 2001. Stuart had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stu Herrmann

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) STUART HERRMANN, CPA (NON-INVESTMENT REL), FAIR LAWN, NJ; START:01/06; HRS: FEW HOURS/WK, DURING TRADING HRS; DUTIES: TAX PREP. 2) FL CH OF COMM (NON-INVESTMENT REL), FAIR LAWN, NJ; VP/BOARD MEMBER; START:11/00; HRS: 2-4/MO DURING TRADING HRS; DUTIES: BD MEETINGS,REVIEW OPERATIONS, BUDGETS & CHAMBER EVENTS. 3) FL ROTARY & FOUNDATION (NON-INVESTMENT REL), FAIR LAWN, NJ; BD MEMBER; START:11/00; HRS: 2/MO, 1 DURING TRADING HRS; DUTIES: MONTHLY MEETINGS, REVIEW OPERATIONS, BUDGETS, FUNDRAISING EVENTS. 4)UPSIDE MEDIA & MARKETING LLC. SPOUSE'S MARKETING CONSULTING FIRM. DOES TAX RETURN. 5% OWNERSHIP. NOT SECURITIES RELATED. ZERO HOURS DEVOTED PER MONTH. 5) CHADWICK FINANCIAL SERVICES GROUP, LLC, NON INVESTMENT RELATED, WEST WINDSOR, NJ, TAX RETURNS, MANAGING MEMBER, START DATE 1/2008, APPROXIMATELY 10 HOURS DEVOTED PER MONTH, ZERO HOURS DEVOTED DURING TRADING HOURS. 6) ZAS REALTY, LLC. NON INVESTMENT RELATED. WEST WINDSOR, NJ. MANAGING MEMBER, PASSIVE REAL ESTATE OWNERSHIP. START DATE 02/2022. APPROXIMATELY 1 HOUR DEVOTED PER MONTH, 0 DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

CRD#: 8174

WEEHAWKEN, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 1/29/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2001

General Securities Representative 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)

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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stuart B. Herrmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CHADWICK WEALTH MANAGEMENT, LLC

SENTINEL SECURITIES, LLC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SAX WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2001

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

Similar Advisors