Evan H. Wax

WAX ASSET MANAGEMENT LLC

Madison, CT

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CRD#: 4694935

Professional summary

Evan Heath Wax, who also goes by Evan Wax, is a registered financial advisor currently at WAX ASSET MANAGEMENT LLC located in Madison, Connecticut.

Evan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Evan has worked at 2 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Evan Wax

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.

Servotronics, Inc 1110 Maple Street Elma, New York 14059 Independent board member/Director 2022-Present Approximately 4 hours a month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Evan Heath Wax'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®

None

Experience

Current

April 29, 2011 - Present

WAX ASSET MANAGEMENT LLC

RIA

CRD#: 157405

Madison, CT

Past

September 24, 2003 - May 24, 2004

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

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

Connecticut
(4/29/2011)

IAR

New York
(11/17/2021)

IAR

Texas
(3/6/2013)

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: 4/19/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/6/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 10/22/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/23/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/3/2003

Registered Options Principal Examination

Current Firm

WAX ASSET MANAGEMENT LLC

WAX ASSET MANAGEMENT | WAX ASSET MANAGEMENT LLC

CRD#: 157405 / SEC#:

Connecticut

Registered Investment Advisory firm - (4/29/2011 Approved)

New York

Registered Investment Advisory firm - (5/6/2011 Approved)

Texas

Registered Investment Advisory firm - (2/25/2013 Conditional Restricted)

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Contact information

Main Address

Madison, CT

Mailing Address

Phone number

(203) 941-0111

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 107,841,290

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Florida	ERA - Withdrawn	2/13/2013
Illinois	ERA - Withdrawn	2/13/2013

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.

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Advisor Monitoring

Firm Stability Insights

Evan H. Wax

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Evan Heath Wax's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/2011

Series 63

Date: 10/1/2003

Series 3

Date: 2/6/2004

Series 55

Date: 10/22/2003

Series 7

Date: 9/23/2003

Series 4

Date: 12/3/2003

Current Firm

WAX ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

WAX ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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