Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Cowen is a financial advisor with over 40 years of experience in the financial services industry. He is currently registered with SGL Financial, LLC in Connecticut and Virginia. Roger holds the Series 63, 65 and Series 1 and 2 licenses and is also a Chartered Financial Consultant. Prior to joining SGL Financial, LLC, Roger worked for a number of other firms in the industry including Midamerica Financial Services, Inc., Harvest Capital LLC, USAllianz Securities, Inc., Legacy Financial Services, Inc. and Berkshire Equity Sales, Inc. Roger has a strong focus on financial planning and portfolio management and provides services to high-net-worth individuals, individuals other than high-net-worth, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
IL
01/26/2017 - Present
SGL Financial, LLC (BUFFALO GROVE IL)
CT
11/14/2008 - 09/08/2010
MIDAMERICA FINANCIAL SERVICES, INC. (FARMINGTON CT)
CT
10/03/2002 - 12/04/2006
HARVEST CAPITAL LLC (FARMINGTON CT)
MN
03/22/2001 - 10/04/2002
USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)
CA
01/31/2001 - 03/21/2001
LEGACY FINANCIAL SERVICES, INC. (PETALUMA CA)
MA
04/19/1991 - 12/15/2000
BERKSHIRE EQUITY SALES, INC. (PITTSFIELD MA)
NY
06/06/1983 - 12/31/1990
PPS SECURITIES CORP. (NEW YORK NY)
CT
07/07/1982 - 10/31/1990
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
NA
03/10/1980 - 08/05/1981
CG EQUITY SALES COMPANY
IA
Issued 12/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/11/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/1980
Series 2 - Non-Member General Securities Examination
BC
Issued 02/28/1980
Series 1 - Registered Representative Examination
Active
Inactive
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