Samuel L. Allen

ZIONS CAPITAL ADVISORS

Salt Lake City, UT 84133

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CRD#: 3039797

Professional summary

Samuel Lewis Allen, who also goes by Samuel L Allen, is a registered financial advisor currently at ZIONS CAPITAL ADVISORS, INC. located in Salt Lake City, Utah and ZIONS DIRECT, INC. located in Salt Lake City, Utah.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Samuel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Samuel L Allen

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) - RIA

Click below to view Samuel Lewis Allen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 2, 2015 - Present

ZIONS CAPITAL ADVISORS, INC.

Office #1: Zions Capital Advisors One South Main St. 12th Floor, Salt Lake City, UT, 84133

RIA

CRD#: 131308

Salt Lake City, UT

Current

January 5, 2015 - Present

ZIONS DIRECT, INC.

Office #1: One South Main St., Salt Lake City, UT 84133

CRD#: 17776

Salt Lake City, UT

Past

December 14, 2013 - December 24, 2014

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Past

October 6, 2006 - March 13, 2012

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

December 14, 2005 - March 29, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SALT LAKE CITY, UT

Past

February 10, 2004 - November 15, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

May 9, 2003 - July 14, 2003

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

April 12, 2002 - May 5, 2003

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

April 21, 1998 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Utah
(1/5/2015)

IAR

Utah
(3/2/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/2/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/31/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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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Firm Stability Insights

Samuel L. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Lewis Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZIONS DIRECT, INC.

E*TRADE SECURITIES LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

EDWARD JONES

LOCUST STREET SECURITIES, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

ZIONS CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2015

Series 63

Date: 4/3/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2004

Series 6

Date: 4/20/1998

Series 24

Date: 12/21/2015

Series 26

Date: 3/31/2000

FINRA

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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