JS
Jonathan Shen
SAX WEALTH ADVISORS
EWING, NJ 08628
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CRD#: 6361793
JS
Professional summary
Jonathan Shen, who also goes by Jonathan Jermin Shen, Jonathan Shen, Jonathan J Shen, is a registered financial advisor currently at SAX WEALTH ADVISORS, LLC located in Ewing, New Jersey.
Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jonathan has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan Jermin Shen | Jonathan Shen | Jonathan J Shen
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. 3/29/2021 - L. ROSS WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 3/30/2021 - Private Portfolio Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Registered Admin. - Started 03/2021 - 80 Hours Per Month/3 Hours During Securities Trading - Time Spent 50% - I provide administrative support to Private Portfolio Partners, an independent investment advisor firm. I started this business activity in 3/2021. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 3/30/2021 - Private Portfolio Partners - DBA: (Hybrid) L. Ross Wealth Management - Investment Related - At Reported Business Location(s) - Registered Admin. - Started 03/2021 - 80 Hours Per Month/3 Hours During Securities Trading - Time Spent 50% - I provide administrative support to Private Portfolio Partners, an independent investment advisor firm. I started this business activity in 3/2021. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Shen'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®
NoneExperience
Current
May 9, 2023 - Present
SAX WEALTH ADVISORS, LLC
Office #1: 100 Charles Ewing Boulevard Suite 130, Ewing, NJ 08628RIA
CRD#: 119193
EWING, NJ
Past
April 11, 2022 - April 14, 2023
PRIVATE PORTFOLIO PARTNERS, LLC
RIA
CRD#: 165616
PARAMUS, NJ
Past
March 29, 2021 - April 24, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
PARAMUS, NJ
Past
May 16, 2017 - March 2, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PARAMUS, NJ
Past
December 24, 2014 - May 17, 2017
EQUITY SERVICES, INC.
BD
CRD#: 265
EDISON, 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.
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 Jersey(5/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/26/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
SAX WEALTH ADVISORS, LLC
SAX WEALTH ADVISORS, LLC | SMF FINANCIAL ADVISORS, LLC
CRD#: 119193 / SEC#: 801-68788
RIA
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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
39
SEC notice filing (30 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.
