ZIONS DIRECT, INC. ⚠ Disclosure events
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 17776
- Firm name
- ZIONS DIRECT, INC.
- Other names / DBAs
- ZIONS CAPITAL MARKETS; ZIONS INVESTMENT SECURITIES, INC.; ZIONS INVESTMENT SECURITIES, INC; ZIONS DISCOUNT BROKERAGE, INC.; ZIONS DIRECT, INC.
- IA scope
- —
- SEC BD file
- 8-35721
- Branches
- 5
- Disclosure events
- YES
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