Catherine E. Novak
Professional summary
Catherine Elizabeth Novak, who also goes by Catherine Elizabeth Frederick, Leisa Novak, is a registered financial advisor currently at ZIONS CAPITAL ADVISORS, INC. located in Houston, Texas and ZIONS DIRECT, INC. located in Houston, Texas.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Catherine has worked at 6 firms and has passed the Series 66, Series 79TO, Series 52TO, SIE, Series 7, Series 4, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Elizabeth Novak's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2017 - Present
ZIONS CAPITAL ADVISORS, INC.
Office #1: 1717 W. Loop South 10th Floor, Houston, TX, 77027June 7, 2016 - Present
ZIONS DIRECT, INC.
Office #1: 1717 West Loop South 22nd Floor, Houston, TX 77027September 1, 2010 - April 7, 2016
AMEGY INVESTMENTS, INC.
September 1, 2010 - June 14, 2016
AMEGY INVESTMENTS, INC.
January 9, 2004 - June 29, 2009
AMEGY INVESTMENTS, INC.
May 13, 2003 - June 29, 2009
AMEGY INVESTMENTS, INC.
February 7, 2002 - May 15, 2003
FISERV INVESTOR SERVICES, INC.
May 2, 2001 - January 10, 2002
WELLS FARGO INVESTMENTS, LLC
March 16, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
Primary Firm SEC Registration
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/7/2016)
(2/13/2017)
Exams
Series 79TO
Date: 3/12/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308 / SEC#: 801-63287
Contact information
SEC notice filing (10 States and Territories)
Documents
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 | ||
| 02/26/2024 | ||
| 02/21/2023 |
Red Flags
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