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Lauren Phyllis Prince

Sax Wealth Advisors, LLC

New York, NY

Parsippany, NJ

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Current Employers
Sax Wealth Advisors, Llc

389 Interpace Parkway Suite 3, Parsippany, NJ 07054 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-05-13
NY RA APPROVED 2026-04-01
  • NJ RA
    APPROVED
    Since 2026-05-13
  • NY RA
    APPROVED
    Since 2026-04-01

Branch Locations

New York, NY • United States

389 Interpace Parkway Suite 3, Parsippany, NJ 07054 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prince Financial Advisory Llc New York NY 07/2011 03/2026
Sax Wealth Advisors, Llc Parsippany NJ 04/2026 Present
Previous Registrations
  • 2019-04-01 → 2026-06-22
    Prince Financial Advisory Llc
    New York, NY
    Boynton Beach, FL
  • 2005-11-30 → 2011-07-22
    National Planning Corporation
    Ridgewood, NJ
  • 1993-09-24 → 2003-01-28
    Nathan & Lewis Securities, Inc.
    New York, NY
Other Businesses

LAUREN PRINCE-YES-NY, NY 10016-FIXED ANNUITY PRODUCTS-AGENT-01/01/2011-1/1 HRS-SELLING FIXED ANNUITY PRODUCTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-24
S63 Uniform Securities Agent State Law Examination 1991-10-01
  • S65 Uniform Investment Adviser Law Examination
    1995-11-24
  • S63 Uniform Securities Agent State Law Examination
    1991-10-01
Designations
Other Names
  • Phyllis Louise Semcer
  • P Lauren Semcer

View on SEC IAPD

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