Rosa Y. Chen
Professional summary
Rosa Yii-ching Chen, who also goes by Rosa Yi Ching Chen, Rosa Yii-ching Chen Welton, Rosa Yii-ching Chen Welton, is a registered financial advisor currently at BRADLEY FOSTER & SARGENT INC located in Hartford, Connecticut.
Rosa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Rosa has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Rosa Yii-ching Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2022 - Present
BRADLEY FOSTER & SARGENT INC
Office #1: 185 Asylum Street City Place Ii 11th Floor, Hartford, CT, 06103-3402September 25, 2003 - June 2, 2010
MESIROW FINANCIAL, INC.
February 28, 2003 - June 2, 2010
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
April 5, 2002 - April 30, 2003
DELOITTE & TOUCHE INVESTMENT ADVISORS LLC
Primary Firm SEC Registration
BRADLEY FOSTER & SARGENT INC
CRD#: 106928 / SEC#: 801-46616
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/21/2022)
(9/30/2022)
(11/2/2022)
(9/21/2022)
(9/21/2022)
Exams
Current Firm
BRADLEY FOSTER & SARGENT INC
CRD#: 106928 / SEC#: 801-46616
Contact information
SEC notice filing (44 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,971 |
| AUM (Assets Under Management) | $ 9,072,939,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2026 | ||
| 11/22/2024 | ||
| 02/02/2024 |
Red Flags
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