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Roger Jay Cowen

Sgl Financial, LLC

Buffalo Grove, IL

West Hartford, CT

CRD 705542

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Employer firm

Sgl Financial, LLC CRD 158023

$416M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Periodicals / newsletters
  • Educational seminars

From the firm’s Form ADV. Read the guides:

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
  • Chartered Financial Consultant
Other Names
  • Roger J Cowen

View on SEC IAPD

Nearby Firms

HIGHTOWER ADVISORS, LLC
BROOKSTONE CAPITAL MANAGEMENT LLC
JOURNEY FINANCIAL GROUP, INC.

Nearby Investors

STEVEN RICHARD LEWIT
Kaleb Gandy
DYLAN JACOB COWEN

Nearby Offices

SGL FINANCIAL, LLC · Buffalo Grove, IL
HIGHTOWER ADVISORS, LLC · BUFFALO GROVE, IL
BROOKSTONE CAPITAL MANAGEMENT LLC · Buffalo Grove, IL

More in Buffalo Grove, IL

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