Nelson Rafael Dias

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 09/2014 → 11/2016
  Wells Fargo Advisors, Llc
  Providence, RI
• 11/2016 → 10/2018
  Wells Fargo Clearing Services, Llc
  Providence, RI
• 10/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Providence, RI
• 12/2018 → Present
  Bank Of America N.A.
  Providence, RI

Previous Registrations

• 2015-01-03 → 2018-10-22
  Wells Fargo Clearing Services, Llc
  Providence, RI

Other Businesses

I*4667271 Entity Type: For Profit Name of OBA: J. D. L.egacy Holdings LLC Address: Clearwater, Florida, 33767 Investment Related: No Position, Title, Association: Owner Employee Start Date: 07/01/2026 Number of Hours: 5, Yearly Number of Hours during trading: 0 Duties: The purpose of the LLC is to purchase, own, lease, maintain, manage, and operate real estate property, including condotels, and to engage in any and all other lawful business activities related to real estate. Purchasing a rental property and will short term rent out when not personally using. Will use a rental management company to handle most of the activities including advertising, finding renters, establishing rental rates, collecting rent fees, etc.

Exams

• S66 Uniform Combined State Law Examination
  2015-01-02
• S63 Uniform Securities Agent State Law Examination
  2009-08-08

Other Names

• Nelson Dias
• Nelson Rafael Dias
• Nelson R. Dias