Mark E. Thomas

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CRD#: 1363895

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Evan Thomas was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2004 - January 19, 2018

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

SALT LAKE CITY, UT

Past

December 19, 2000 - April 25, 2001

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 1, 1999 - October 31, 2000

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

March 22, 1995 - July 1, 1999

FIRST SECURITY INVESTOR SERVICES, INC.

CRD#: 15515

SALT LAKE CITY, UT

Past

November 5, 1987 - April 11, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

May 23, 1985 - October 23, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ZIONS CAPITAL ADVISORS, INC.

CRD#: 131308 / SEC#: 801-63287

RIA

Registered Investment Advisory firm - (7/28/2004 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/29/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/18/1985

General Securities Representative Examination

Current Firm

ZIONS CAPITAL ADVISORS, INC.

CRD#: 131308 / SEC#: 801-63287

RIA

Registered Investment Advisory firm - (7/28/2004 Approved)

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Contact information

Main Address

Zions Capital Advisors One South Main St. 12th Floor, Salt Lake City, UT, 84133

Mailing Address

Phone number

(800) 608-3202

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZIONS CAPITAL ADVISORS, INC. (5/7/2025)

Regulatory assets under management

Total Number of Accounts	88
AUM (Assets Under Management)	$ 1,460,957,454

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/11/2025	Cover Page	Report
02/26/2024	Cover Page	Report
02/21/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Mark E. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

WELLS FARGO SECURITIES, LLC

FIRST SECURITY INVESTOR SERVICES, INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ZIONS CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/2004

Series 63

Date: 5/28/1985

Series 7

Date: 5/18/1985

Current Firm

ZIONS CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ZIONS CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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