Evan Wax has been Managing Member/Chief Compliance Officer of Wax Asset Management since April 2011, is a control person of the firm and directly owns between 50% and 75% of it.
Wax Asset Management LLC is a firm with $181M under management, 74 clients and 1 adviser in one office, as of its March 2026 filing.
- Wax Asset Management LLCCurrent– present · 15 yearsMadison, CT · Adviser representative · Firm CRD 157405
Investment adviser representative registrations
Evan Wax is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from April 2011; the most recent is New York, in November 2021.
- ConnecticutSince 29 April 2011
- New YorkSince 17 November 2021
- TexasResidentSince 6 March 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 19 April 2011 |
| Series 3 | National Commodity Futures Examination | 6 February 2004 |
| Series 4 | Registered Options Principal Examination | 3 December 2003 |
| Series 55 | Limited Representative-Equity Trader Exam | 22 October 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 October 2003 |
| Series 7 | General Securities Representative Examination | 23 September 2003 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Registered Options Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Evan Heath Wax
- CRD
- 4694935
- Firm
- Wax Asset Management · CRD 157405
- Role
- Managing Member/Chief Compliance Officer
- Office
- Madison, CT
- Registration
- Investment adviser registration
- In the industry since
- April 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Evan Wax work?
Evan Wax has been Managing Member/Chief Compliance Officer of Wax Asset Management LLC since April 2011, and is a control person of the firm.
Is Evan Wax a financial advisor?
Yes. Evan Wax has a current investment-adviser registration in Connecticut, New York and Texas, through Wax Asset Management since April 2011.
How many years of experience does Evan Wax have?
Evan Wax has 15 years in the financial industry, since April 2011, across 1 adviser firm.
What exams has Evan Wax passed?
Evan Wax has passed 6 licensing exams: the Series 7, Series 63, Series 55, Series 4, Series 3 and Series 65. The earliest, the Series 7, was passed in September 2003.
Where is Evan Wax based?
Evan Wax’s registered office is in Madison, CT.
Is Evan Wax registered with FINRA?
No. Evan Wax has no current broker registration.
How can I verify Evan Wax’s record?
Search CRD 4694935 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Evan Wax’s full registration record.