Edward J Dias

Employer firm

Dias, Edward J. CRD 164143

9 advisory clients

Reported services (Item 5G)

Pension consulting
Educational seminars

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

Current Employers

Dias, Edward J.

Putnam, CT • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2012-06-11
MA	RA	APPROVED	2012-06-05
RI	RA	APPROVED	2012-06-01

CT RA
APPROVED

Since 2012-06-11
MA RA
APPROVED

Since 2012-06-05
RI RA
APPROVED

Since 2012-06-01

Branch Locations

Putnam, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Self	Putnam	CT	01/1995	Present
Northeast Pension Associates	Putnam	CT	01/1998	Present

01/1995 → Present

Self

Putnam, CT
01/1998 → Present

Northeast Pension Associates

Putnam, CT

Other Businesses

I HAVE ACTIVE INSURANCE LICENSES IN CT, MA, AND RI.I USE THESE LICENSES TO SELL CORPORATE 401(K)PLANS EXCLUSIVELY. THE ADDRESS I USE IS 246 FIVE MILE RIVER ROAD, PUTNAM, CT 06260

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-04-03
S63	Uniform Securities Agent State Law Examination	1993-05-21

S65 Uniform Investment Adviser Law Examination

2012-04-03
S63 Uniform Securities Agent State Law Examination

1993-05-21

Other Names

Edward Roger Dias

View on SEC IAPD