Rosa Diana Cadena
Investment Adviser Representative at Connecticut Wealth Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Rosa Diana Cadena is an investment adviser representative with Connecticut Wealth Management, LLC in Farmington, CT, where they have been registered since 2026. They have worked in the securities industry since 2017 and have been registered with 3 firms, including Focus Partners Wealth, LLC and GYL Financial Synergies, LLC. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Connecticut.
Office
Advisors at this office: 49
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Connecticut
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Jpmorgan Chase BANKJan 2015 – May 2017Fairfield, CT
- Jpmorgan Securities LLCJan 2015 – May 2017Fairfield, CT
- Resnick Investment Advisors, LLCMay 2017 – Jan 2019Westport, CT
- GYL Financial Synergies, LLCJan 2019 – Nov 2024Westport, CT
- Focus Partners WealthNov 2024 – Sep 2025Boston, MA
- Connecticut Wealth ManagementOct 2025 – no end date reportedFarmington, CT
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Connecticut Wealth Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $2,500,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 49
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Farmington, CT
- SEC file number:
- 801-73061
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 8, 2026
View full firm profileOther advisors at Connecticut Wealth Management, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Rosa Diana Cadena has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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