Carlos A. Dias

DIAS WEALTH

Lake Mary, FL 32746

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CRD#: 5315390

Professional summary

Carlos Alves Dias JR. is a registered financial advisor currently at DIAS WEALTH, LLC located in Lake Mary, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Carlos has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) DIAS FINANCIAL, LLC; INVESTMENT RELATED; MANAGING MEMBER/INSURANCE AGENT; SAME OFFICE ADDRESS AS FIRM; START DATE: 07/2019 TO PRESENT; TIME SPENT: 40 HOURS/MTH (SAME DURING TRADING) INSURANCE SALES. 2) KIPLINGER; INVESTMENT RELATED; CONTRIBUTOR; WASHINGTON, D.C.; 08/2016 TO PRESENT; TIME SPENT: 4 HRS PER MONTH DURING NON-TRADING HOURS; NATIONAL CYNDICATED COLUMNIST ON TOPICS PERTAINING TO PERSONAL FINANCE AND RETIREMENT. 3) MARKETWATCH; CONTRIBUTOR; NEW YORK, NY; 05/2015 TO PRESENT; TIME SPENT: 2 HRS PER MONTH DURING NON-TRADING HOURS; COLUMNIST ON TOPICS PERTAINING TO FINANCES AND RETIREMENT. 4) CPAACADEMY.ORG; PROFESSOR; 11/2019 TO PRESENT; 8 HRS PER MONTH DURING TRADING HOURS; PROVIDES EDUCATION TO CPAs, ENROLLED AGENTS, AND OTHER TAX PROFESSIONALS ON DIFFERENT TOPICS. 5) NIL-LLC; OWNER; SAME ADDRESS OF RECORD; TIME SPENT: 6 HRS PER MONTH DURING TRADING; FOCUSES ON NAME IMAGE AND LIKENESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alves Dias JR.'s CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 28, 2020 - Present

DIAS WEALTH, LLC

Office #1: 250 International Parkway Suite 134, Lake Mary, FL 32746Office #2: 250 International Pkway Suite 134, Lake Mary, FL 32746

RIA

CRD#: 304465

Lake Mary, FL

Past

December 1, 2014 - December 20, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Lake Mary, FL

Past

April 21, 2014 - November 12, 2014

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

LAKE MARY, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(1/28/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/5/2014

Uniform Investment Adviser Law Examination

Current Firm

DIAS WEALTH, LLC

CRD#: 304465 / SEC#:

Florida

Registered Investment Advisory firm - (1/28/2020 Approved)

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Contact information

Main Address

250 International Parkway Suite 134, Lake Mary, FL 32746

Mailing Address

P.o. Box 9068, Daytona Beach, FL 32120

Phone number

(321) 926-0936

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 7,654,635

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carlos A. Dias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alves Dias JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

DIAS WEALTH, LLC

BROOKSTONE WEALTH ADVISORS, LLC

REGAL INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2014

Current Firm

DIAS WEALTH, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DIAS WEALTH, LLC

TRUST BUT VERIFY

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