Chad J. Oviatt
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.
Chad Jeffery Oviatt, who also goes by Chad J Oviatt, was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1999. Chad had worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2017 - December 8, 2017
ZIONS DIRECT, INC.
March 31, 2015 - December 8, 2017
ZIONS CAPITAL ADVISORS, INC.
November 17, 2006 - August 1, 2007
NATIONAL PLANNING CORPORATION
November 15, 2004 - July 31, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2004 - July 31, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2003 - November 19, 2004
CITIGROUP GLOBAL MARKETS INC.
October 31, 2003 - November 19, 2004
CITIGROUP GLOBAL MARKETS INC.
August 8, 2002 - November 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1999 - November 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH 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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