Roger Cowen has been an investment adviser representative at SGL Financial since October 2012, and is not listed among the firm’s executive officers or direct owners.
SGL Financial, LLC is a Buffalo Grove, IL firm with $416M under management, 884 clients and 13 advisers across 4 offices, as of its September 2026 filing.
Roger Cowen’s longest registration is the current one, 14 years at SGL Financial since 2012. Before joining SGL Financial in 2012, Roger Cowen was registered through American Investment Services and Harvest Capital Advisors, LLC.
- SGL Financial, LLCCurrent– present · 14 yearsWest Hartford, CT · Adviser representative · Firm CRD 158023
- American Investment Services– · 2 yearsFarmington, CT · Adviser representative · Firm CRD 144088
- Harvest Capital Advisors, LLC– · 3 yearsWest Hartford, CT · Adviser representative · Firm CRD 125920
Investment adviser representative registrations
Roger Cowen is registered as an investment adviser representative in 2 states. The first approvals date from October 2012; the most recent is Virginia, in January 2017.
- ConnecticutSince 19 October 2012
- VirginiaSince 26 January 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 December 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 June 1980 |
| Series 2 | Non-Member General Securities Examination | 10 March 1980 |
| Series 1 | Registered Representative Examination | 28 February 1980 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Non-Member General Securities Examination
- Name
- Registered Representative Examination
- Full name
- Roger Jay Cowen
- CRD
- 705542
- Firm
- SGL Financial · CRD 158023
- Office
- 433 S. Main Street, Suite 310, West Hartford, CT 06110
- Registration
- Investment adviser registration
- In the industry since
- March 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Roger Cowen work?
Roger Cowen is an investment adviser representative registered through SGL Financial, LLC since October 2012, and is not listed among the firm’s executive officers or direct owners.
Is Roger Cowen a financial advisor?
Yes. Roger Cowen has a current investment-adviser registration in Connecticut and Virginia, through SGL Financial since October 2012.
How many years of experience does Roger Cowen have?
Roger Cowen has 20 years in the financial industry, since March 2006, across 3 adviser firms.
What exams has Roger Cowen passed?
Roger Cowen has passed 4 licensing exams: the Series 1, Series 2, Series 63 and Series 65. The earliest, the Series 1, was passed in February 1980.
Where did Roger Cowen work before SGL Financial?
Before SGL Financial, Roger Cowen was registered through American Investment Services, January 2008 to November 2010; Harvest Capital Advisors, LLC, March 2003 to December 2006.
Where is Roger Cowen based?
Roger Cowen’s registered office is in West Hartford, CT.
Is Roger Cowen registered with FINRA?
No. Roger Cowen has no current broker registration.
How can I verify Roger Cowen’s record?
Search CRD 705542 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roger Cowen’s full registration record.
- Gabriel LewitChief Executive Officer
- Gery SadzewiczChief Compliance Officer
- Steven LewitOwner