Jack M. Rose

CONNECTICUT WEALTH MANAGEMENT

Farmington, CT 06032-1911

Some features on this profile are disabled

CRD#: 7466387

Professional summary

Jack Michael Rose is a registered financial advisor currently at CONNECTICUT WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.

Jack is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Jack has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Jack Michael Rose'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®

None

Experience

Current

May 20, 2024 - Present

CONNECTICUT WEALTH MANAGEMENT, LLC

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

RIA

CRD#: 154310

Farmington, CT

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
(5/20/2024)

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 65

Date: 5/20/2024

Uniform Investment Adviser Law 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jack M. Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jack Michael Rose's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONNECTICUT WEALTH MANAGEMENT, LLC

Primary Firm SEC Registration

CONNECTICUT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/2024

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

Similar Advisors