VK
Vanessa Keller Dias
BANCO DO BRASIL SECURITIES LLC
Miami, FL
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CRD#: 5541811
VK
Professional summary
Vanessa Keller Dias, who also goes by Vanessa Keller, is a registered financial advisor currently at BANCO DO BRASIL SECURITIES LLC located in Miami, Florida.
Vanessa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Vanessa has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vanessa Keller
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Vanessa Keller Dias's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vanessa Keller Dias'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®
NoneExperience
Current
September 8, 2022 - Present
BANCO DO BRASIL SECURITIES LLC
Office #2: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #3: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #4: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131RIA
BD
CRD#: 132701
Miami, FL
Current
September 14, 2021 - Present
BANCO DO BRASIL SECURITIES LLC
Office #1: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #2: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131Office #3: 2 South Biscayne Blvd. Suite #3150, Miami, FL 33131RIA
BD
CRD#: 132701
MIAMI, FL
Past
May 11, 2010 - September 13, 2021
SABADELL SECURITIES USA, INC.
BD
CRD#: 148137
MIAMI, FL
Past
July 22, 2008 - March 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/9/2023)
RR
California(9/20/2021)
RR
Colorado(9/20/2021)
RR
Delaware(9/20/2021)
RR
District of Columbia(9/20/2021)
RR
Florida(9/20/2021)
IAR
Florida(9/8/2022)
RR
Illinois(2/27/2024)
RR
Indiana(10/9/2023)
RR
Maryland(9/20/2021)
RR
Michigan(1/2/2025)
RR
Minnesota(9/20/2021)
RR
New York(9/20/2021)
RR
Texas(9/20/2021)
RR
Virginia(9/20/2021)
RR
Washington(10/9/2023)
RR
Wisconsin(12/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BD
BANCO DO BRASIL SECURITIES LLC
BANCO DO BRASIL SECURITIES LLC
CRD#: 132701 / SEC#: , 8-66625
Florida
Registered Investment Advisory firm - SEC (9/6/2022 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131
Mailing Address
2 South Biscayne Blvd. Suite #3150, Miami, FL 33131
Phone number
(407) 608-1780
Established
New York since 07/12/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
10
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO DO BRASIL S.A. | SOLE MEMBER | |
| ABREU, JULIANO MARCATTO DE | MEMBER OF THE BOARD OF DIRECTORS | 7971425 |
| FRANCA, MELISSA BUENO | CHIEF COMPLIANCE OFFICER & AMLCO | 5185735 |
| FRUET JUNIOR, JOAO FRANCISCO | MEMBER OF THE BOARD OF DIRECTORS | 6759546 |
| INCERROMEO, MARIA ESTIBALIZ | CHIEF INVESTMENT OFFICER | 5885341 |
| MOREIRA, JEFERSON MUNHOZ | CHIEF BUSINESS OFFICER / BOM | 5083219 |
| PORTNOFF, DAVID ROSS | FINOP/CFO | 2977967 |
| RIOS NOGALES GARCES, FABIO LUIS | PRINCIPAL OPERATIONS OFFICER | 5788772 |
| ROSSI, GUILHERME ALEXANDRE | MEMBER OF THE BOARD OF DIRECTORS | 7824752 |
| SILVA ROSOSTOLATO, DIOGO | CHIEF EXECUTIVE OFFICER | 7629292 |
Disclosures
| Civil Event | 1 |
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.
