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RT

Richard J. Tonkin

Some features on this profile are disabled
CRD#: 1669920
RT

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.

Richard James Tonkin JR was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 2 firms and has passed the SIE exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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, 1993 - June 5, 2018

ZIONS DIRECT, INC.

BD
CRD#: 17776
SALT LAKE CITY, UT
Past

August 18, 1993 - September 9, 1993

ZIONS DIRECT, INC.

BD
CRD#: 17776
Past

July 25, 1987 - September 10, 1993

DISCOUNT CORPORATION OF NEW YORK

BD
CRD#: 19757

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 6/5/2018
Securities Industry Essentials Examination

Current Firm

ZD
ZIONS DIRECT, INC.
ZIONS CAPITAL MARKETS | ZIONS INVESTMENT SECURITIES, INC. | ZIONS INVESTMENT SECURITIES, INC | ZIONS DISCOUNT BROKERAGE, INC. | ZIONS DIRECT, INC.

CRD#: 17776 / SEC#: , 8-35721

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
One South Main Street, Salt Lake City, UT 84133
Mailing Address
One South Main Street 17th Floor, Salt Lake City, UT 84133
Phone number
(801) 844-7843
Established
Utah since 02/07/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZIONS BANCORPORATION, N.A.PARENT COMPANY
BURDISS, PAUL EDWARDBOARD MEMBER7267112
HASH, JENNIFER KYLECHIEF COMPLIANCE OFFICER4123554
KYRIAKAKIS, CHRISTOPHERBOARD MEMBER8020162
MACDONALD, MICHAEL WHITNEYPRESIDENT / CHIEF EXECUTIVE OFFICER4533843
MOORE, RYAN DFINOP7216248
RICHARDS, ROBERT RYANBOARD MEMBER8021252
STEWARD, DEREK STRIBLINGBOARD MEMBER8022102
YU, THOMASBOARD MEMBER7994635

Disclosures

Regulatory Event4
Arbitration3

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.

Company Information

ZIONS DIRECT, INC.

CRD#: 17776

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