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Inactive

Roger Jay Cowen

Sgl Financial, LLC

Buffalo Grove, IL

West Hartford, CT

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Current Employers
Sgl Financial, Llc

1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2017-01-26
CT RA APPROVED 2012-10-19
  • VA RA
    APPROVED
    Since 2017-01-26
  • CT RA
    APPROVED
    Since 2012-10-19

Branch Locations

1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089 • United States

433 S. Main Street Suite 310, West Hartford, CT 06110 • 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
Cowen Tax Advisory Group Farmington CT 10/2005 Present
Wealth Financial Advisory Services, Llc Farmington CT 09/2012 Present
  • 10/2005 → Present
    Cowen Tax Advisory Group
    Farmington, CT
  • 09/2012 → Present
    Wealth Financial Advisory Services, Llc
    Farmington, CT
Previous Registrations
  • 2008-01-07 → 2010-11-01
    American Investment Services
    Farmington, CT
  • 2003-03-06 → 2006-12-01
    Harvest Capital Advisors, Llc
    West Hartford, CT
Other Businesses

COWEN TAX ADVISORY GROUP- SELL INSURANCE AND ANNUITIES IN ACCORDANCE WITH THE NEEDS OF CLIENTS. WILL PREPARE TAX RETURNS. APPROX 75% TIME WEEKLY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-28
S63 Uniform Securities Agent State Law Examination 1980-06-11
  • S65 Uniform Investment Adviser Law Examination
    1999-12-28
  • S63 Uniform Securities Agent State Law Examination
    1980-06-11
Designations
Other Names
  • Roger J Cowen

View on SEC IAPD

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Other Investors

STEVEN RICHARD LEWIT
Kaleb Gandy
DYLAN JACOB COWEN
MELVIN LUBELSKI
GABRIEL DAVID LEWIT
STEVEN JAMES THOMAS
Robert Joel Eisenberg
ANDRES GOMEZ TERRONEZ

Other Offices

SGL FINANCIAL, LLC · Buffalo Grove, IL
HIGHTOWER ADVISORS, LLC · BUFFALO GROVE, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · Buffalo Grove, IL
JOURNEY FINANCIAL GROUP, INC. · BUFFALO GROVE, IL
PHASE III ADVISORY SERVICES, LTD · BUFFALO GROVE, IL
JOURNEY FINANCIAL GROUP, INC. · BUFFALO GROVE, IL
JOURNEY FINANCIAL GROUP, INC. · BUFFALO GROVE, IL
PNC WEALTH MANAGEMENT LLC · BUFFALO GROVE, IL

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