Wanda J. Pounders
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.
Wanda Jane Pounders was a registered financial professional .
Wanda is a previously registered financial professional and started their career in finance in 1987. Wanda had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - June 15, 2022
ZIONS DIRECT, INC.
April 21, 2005 - December 31, 2015
AMEGY INVESTMENTS, INC.
January 9, 2004 - March 31, 2005
CHASE INVESTMENT SERVICES CORP.
November 28, 2001 - November 25, 2002
CHASE INVESTMENT SERVICES CORP.
September 28, 1994 - November 18, 2002
J.P. MORGAN SECURITIES OF TEXAS, INC.
June 8, 1993 - July 12, 1993
J.P. MORGAN SECURITIES OF TEXAS, INC.
October 13, 1992 - June 8, 1993
TEXAS COMMERCE EQUITIES, INC.
January 25, 1990 - December 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 13, 1989 - January 17, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 24, 1987 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ZIONS DIRECT, INC.
CRD#: 17776 / SEC#: , 8-35721
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIONS BANCORPORATION, N.A. | PARENT COMPANY | |
| BURDISS, PAUL EDWARD | BOARD MEMBER | 7267112 |
| HASH, JENNIFER KYLE | CHIEF COMPLIANCE OFFICER | 4123554 |
| KYRIAKAKIS, CHRISTOPHER | BOARD MEMBER | 8020162 |
| MACDONALD, MICHAEL WHITNEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 4533843 |
| MOORE, RYAN D | FINOP | 7216248 |
| RICHARDS, ROBERT RYAN | BOARD MEMBER | 8021252 |
| STEWARD, DEREK STRIBLING | BOARD MEMBER | 8022102 |
| YU, THOMAS | BOARD MEMBER | 7994635 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
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