Richard Alec Rosen

Employer firm

Connecticut Wealth Management, LLC CRD 154310

$4.48B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → 04/2018
  Lpl Financial Llc
  Fort Mill, SC
• 04/2018 → 07/2023
  Adviser Investments
  Newton, MA
• 08/2023 → Present
  Connecticut Wealth Management
  Farmington, CT
• 04/2018 → 07/2023
  Adviser Investments
  Newton, MA
• 10/2013 → 04/2018
  Lpl Financial
  Boston, MA

Previous Registrations

• 2018-04-23 → 2023-07-13
  Rwa Wealth Partners
  Boston, MA
• 2013-11-25 → 2018-04-25
  Lpl Financial Llc
  San Diego, CA
  Fort Mill, SC
  Reading, MA
  Charlestown, MA
  Fort Mill, SC
• 2011-07-18 → 2013-10-21
  Amundi Pioneer Institutional Asset Management, Inc.
  Boston, MA
• 2010-09-13 → 2011-07-08
  Edward Jones
  Maryland Heights, MO
  Maryland Heights, MO
  West Boylston, MA

Exams

• S66 Uniform Combined State Law Examination
  2010-09-10

Designations

• Certified Financial Planner

Other Names

• Richard Rosen
• Alec Rosen