RC
Roger J. Cowen
SGL FINANCIAL
West Hartford, CT 06110
Some features on this profile are disabled
CRD#: 705542
RC
Professional summary
Roger Jay Cowen, who also goes by Roger J Cowen, is a registered financial advisor currently at SGL FINANCIAL, LLC located in West Hartford, Connecticut.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Roger has worked at 11 firms and has passed the Series 65, Series 63, Series 2 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger J Cowen
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.
COWEN TAX ADVISORY GROUP- SELL INSURANCE AND ANNUITIES IN ACCORDANCE WITH THE NEEDS OF CLIENTS. WILL PREPARE TAX RETURNS. APPROX 75% TIME WEEKLY
CRS (Client Relationship Summary) - RIA
Click below to view Roger Jay Cowen'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
October 19, 2012 - Present
SGL FINANCIAL, LLC
Office #1: 433 S. Main Street Suite 310, West Hartford, CT 06110RIA
CRD#: 158023
West Hartford, CT
Past
November 14, 2008 - September 8, 2010
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
FARMINGTON, CT
Past
January 7, 2008 - November 1, 2010
AMERICAN INVESTMENT SERVICES
RIA
CRD#: 144088
FARMINGTON, CT
Past
March 6, 2003 - December 1, 2006
HARVEST CAPITAL ADVISORS, LLC
RIA
CRD#: 125920
WEST HARTFORD, CT
Past
October 3, 2002 - December 4, 2006
HARVEST CAPITAL LLC
BD
CRD#: 35723
FARMINGTON, CT
Past
March 22, 2001 - October 4, 2002
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
January 31, 2001 - March 21, 2001
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
April 19, 1991 - December 15, 2000
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
Past
June 6, 1983 - December 31, 1990
PPS SECURITIES CORP.
BD
CRD#: 10244
NEW YORK, NY
Past
July 7, 1982 - October 31, 1990
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
March 10, 1980 - August 5, 1981
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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".
SF
SGL FINANCIAL, LLC
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
CRD#: 158023 / SEC#: 801-96223
RIA
Registered Investment Advisory firm - (5/29/2015 Approved)Arizona
Registered Investment Advisory firm - (5/29/2015 Terminated)Arkansas
Registered Investment Advisory firm - (5/29/2015 Terminated)California
Registered Investment Advisory firm - (6/28/2015 Terminated)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Connecticut
Registered Investment Advisory firm - (6/1/2015 Terminated)Florida
Registered Investment Advisory firm - (5/29/2015 Terminated)Illinois
Registered Investment Advisory firm - (5/29/2015 Terminated)Iowa
Registered Investment Advisory firm - (6/30/2015 Terminated)Mississippi
Registered Investment Advisory firm - (5/29/2015 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (5/29/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/1/2015 Terminated)South Dakota
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/29/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/29/2015 Terminated)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(10/19/2012)
IAR
Virginia(1/26/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 2
Date: 3/10/1980
Non-Member General Securities ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 2/28/1980
Registered Representative ExaminationCurrent Firm
SF
SGL FINANCIAL, LLC
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
CRD#: 158023 / SEC#: 801-96223
RIA
Registered Investment Advisory firm - (5/29/2015 Approved)Arizona
Registered Investment Advisory firm - (5/29/2015 Terminated)Arkansas
Registered Investment Advisory firm - (5/29/2015 Terminated)California
Registered Investment Advisory firm - (6/28/2015 Terminated)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Connecticut
Registered Investment Advisory firm - (6/1/2015 Terminated)Florida
Registered Investment Advisory firm - (5/29/2015 Terminated)Illinois
Registered Investment Advisory firm - (5/29/2015 Terminated)Iowa
Registered Investment Advisory firm - (6/30/2015 Terminated)Mississippi
Registered Investment Advisory firm - (5/29/2015 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (5/29/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/1/2015 Terminated)South Dakota
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/29/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/29/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089
Mailing Address
Phone number
(888) 245-2388
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,251 |
| AUM (Assets Under Management) | $ 218,580,905 |
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.
