Nicholas Simon Dubac
Professional Summary
Nicholas Simon Dubac is a registered financial advisor currently at SAX WEALTH ADVISORS, LLC located in Wanaque , New Jersey. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Nicholas has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
1 years in the financial services industry
Current & Past Employments
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Current Firm
SAX WEALTH ADVISORS, LLC | SMF FINANCIAL ADVISORS, LLC
Contact Information
Main Address
389 Interpace Parkway Suite 3, Parsippany, NJ 07054Phone Number
(973) 859-2199# of Employees
39SEC notice filing (35 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
5,429AUM (Assets Under Management)
$3,596,080,962Accountant 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 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SAX WEALTH ADVISORS, LLC | SMF FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
(6/30/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Simon Dubac's CRS (Customer Relationship Summary).
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