Luke M. Zulauf

SAX WEALTH ADVISORS

Boca Raton, FL

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CRD#: 6710623

Professional summary

Luke Michael Shawn Zulauf, who also goes by Luke Michael Shawn Zulauf, is a registered financial advisor currently at SAX WEALTH ADVISORS, LLC located in Boca Raton, Florida.

Luke is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Luke has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luke Michael Shawn Zulauf

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luke Michael Shawn Zulauf'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

April 29, 2025 - Present

SAX WEALTH ADVISORS, LLC

RIA

CRD#: 119193

Boca Raton, FL

Past

March 16, 2023 - March 31, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Ft. Lauderdale, FL

Past

March 16, 2023 - March 31, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

Ft. Lauderdale, FL

Past

September 8, 2021 - March 27, 2023

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

New York, NY

Past

September 8, 2021 - March 27, 2023

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Past

October 2, 2020 - September 13, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

STAMFORD, CT

Past

September 25, 2020 - September 7, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

STAMFORD, CT

Past

September 13, 2019 - September 2, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PITTSFORD, NY

Past

September 13, 2019 - September 2, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PITTSFORD, NY

Past

August 30, 2018 - September 25, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PITTSFORD, NY

Past

May 16, 2017 - September 25, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

PITTSFORD, NY

Past

November 26, 2016 - March 9, 2017

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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

Florida
(7/7/2025)

IAR

New Jersey
(4/29/2025)

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: 8/24/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/26/2016

Investment Company Products/Variable Contracts 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)

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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.

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Firm Stability Insights

Luke M. Zulauf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luke Michael Shawn Zulauf's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

SAX WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2018

Series 63

Date: 1/7/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2018

Series 6

Date: 11/26/2016

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

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