Richard A. Rosen

CONNECTICUT WEALTH MANAGEMENT

Farmington, CT 06032-1911

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CRD#: 5824667

Professional summary

Richard Alec Rosen, AIF®, CFP®, who also goes by Alec Rosen, Richard Rosen, is a registered financial advisor currently at CONNECTICUT WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Richard has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alec Rosen | Richard Rosen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alec Rosen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

November 22, 2023 - Present

CONNECTICUT WEALTH MANAGEMENT, LLC

Office #1: 281 Farmington Avenue, Farmington, CT 06032-1911

RIA

CRD#: 154310

Farmington, CT

Past

April 23, 2018 - July 13, 2023

RWA WEALTH PARTNERS

RIA

CRD#: 156984

NEWTON, MA

Past

November 25, 2013 - April 25, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

READING, MA

Past

November 18, 2013 - April 25, 2018

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

July 18, 2011 - October 21, 2013

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

July 15, 2011 - October 21, 2013

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

September 13, 2010 - July 8, 2011

EDWARD JONES

RIA

CRD#: 250

WEST BOYLSTON, MA

Past

August 27, 2010 - July 8, 2011

EDWARD JONES

CRD#: 250

WEST BOYLSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONNECTICUT WEALTH MANAGEMENT, LLC

CRD#: 154310 / SEC#: 801-73061

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (2/16/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/22/2023)

IAR

Massachusetts
(11/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/10/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2010

General Securities Representative Examination

Current Firm

CONNECTICUT WEALTH MANAGEMENT, LLC

CRD#: 154310 / SEC#: 801-73061

RIA

Registered Investment Advisory firm - (2/3/2012 Approved)

Connecticut

Registered Investment Advisory firm - (2/16/2012 Terminated)

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Contact information

Main Address

281 Farmington Avenue, Farmington, CT 06032-1911

Mailing Address

Phone number

(860) 470-0290

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CTWM FORM ADV PART 2A - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,737
AUM (Assets Under Management)	$ 3,708,773,192

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
10/02/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard A. Rosen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alec Rosen's CRS (Customer Relationship Summary).

Certified licenses

Experience

RWA WEALTH PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CONNECTICUT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2010

SIE

Date: 4/25/2018

Series 7

Date: 8/26/2010

Current Firm

CONNECTICUT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CONNECTICUT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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