Rosa D. Cadena
Professional summary
Rosa Diana Cadena, who also goes by Rosa Diana Cadena, Rosa Diana Quintana, is a registered financial advisor currently at CONNECTICUT WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.
Rosa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Rosa has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Rosa Diana Cadena's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2026 - Present
CONNECTICUT WEALTH MANAGEMENT, LLC
Office #1: 281 Farmington Avenue, Farmington, CT 06032-1911November 7, 2024 - September 22, 2025
FOCUS PARTNERS WEALTH, LLC
June 26, 2019 - December 6, 2024
GYL FINANCIAL SYNERGIES, LLC
February 20, 2015 - June 2, 2017
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
CONNECTICUT WEALTH MANAGEMENT, LLC
CRD#: 154310 / SEC#: 801-73061
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/30/2026)
Exams
Current Firm
CONNECTICUT WEALTH MANAGEMENT, LLC
CRD#: 154310 / SEC#: 801-73061
Contact information
SEC notice filing (24 States and Territories)
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 | ||
| 10/02/2024 | ||
| 09/26/2023 |
Red Flags
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