Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nelson? Claim Your ProfileNelson Rafael Dias is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in PROVIDENCE, RI. Nelson Dias has been working in the financial industry since 2014. Nelson Dias holds the Series 6, 7, 63, 66 and SIE licenses. Nelson Dias is registered with FINRA and has been registered with the state of RI since 2018. Prior to Merrill Lynch, Pierce, Fenner & Smith Inc., Nelson Dias was employed by WELLS FARGO ADVISORS, LLC and WELLS FARGO CLEARING SERVICES, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
RI
03/13/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)
RI
12/15/2014 - 10/22/2018
WELLS FARGO CLEARING SERVICES, LLC (PROVIDENCE RI)
MA
07/29/2009 - 08/18/2009
METLIFE SECURITIES INC. (NORWOOD MA)
BOTH
Issued 01/02/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/08/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2014
Series 7 - General Securities Representative Examination
BC
Issued 07/28/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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