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GC

Guy E. Cowden

ZIONS CAPITAL ADVISORS
HOUSTON, TX 77027
Some features on this profile are disabled
CRD#: 4121986
GC

Professional summary

Guy Earl Cowden is a registered financial advisor currently at ZIONS CAPITAL ADVISORS, INC. located in Houston, Texas and ZIONS DIRECT, INC. located in Houston, Texas.

Guy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Guy has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Guy Earl Cowden'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

January 3, 2024 - Present

ZIONS CAPITAL ADVISORS, INC.

Office #1: 1717 West Loop S 10th Fl, Houston, TX, 77027
RIA
CRD#: 131308
HOUSTON, TX
Current

June 6, 2016 - Present

ZIONS DIRECT, INC.

Office #1: 1717 West Loop South 22nd Floor, Houston, TX 77027
BD
CRD#: 17776
Houston, TX
Past

July 21, 2004 - June 14, 2016

AMEGY INVESTMENTS, INC.

BD
CRD#: 120145
HOUSTON, TX
Past

December 4, 2002 - June 10, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

April 1, 2001 - July 30, 2001

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

August 24, 2000 - April 1, 2001

BANK UNITED SECURITIES CORP.

BD
CRD#: 30288
HOUSTON, TX

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".
ZC
ZIONS CAPITAL ADVISORS, INC.
CB&T WEALTH MANAGEMENT | ZIONS WEALTH ADVISORS | ZIONS INSTITUTIONAL LIQUIDITY MANAGEMENT | ZIONS CAPITAL ADVISORS, INC. | VECTRA WEALTH ADVISORS | STRAIGHT INVESTMENT ADVISORS, INC. | STRAIGHT INVESTMENT ADVISERS, INC. | NEVADA STATE INVESTMENT SERVICES | NB|AZ WEALTH MANAGEMENT | CORPORATE INVESTMENTS & LIQUIDITY MANAGEMENT | CONTANGO CAPITAL ADVISORS, INC. | CONTANGO CAPITAL ADVISORS

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.
RR
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

RR
Texas
(6/6/2016)
IAR
Texas
(1/3/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/5/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/25/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/10/2022
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZC
ZIONS CAPITAL ADVISORS, INC.
CB&T WEALTH MANAGEMENT | ZIONS WEALTH ADVISORS | ZIONS INSTITUTIONAL LIQUIDITY MANAGEMENT | ZIONS CAPITAL ADVISORS, INC. | VECTRA WEALTH ADVISORS | STRAIGHT INVESTMENT ADVISORS, INC. | STRAIGHT INVESTMENT ADVISERS, INC. | NEVADA STATE INVESTMENT SERVICES | NB|AZ WEALTH MANAGEMENT | CORPORATE INVESTMENTS & LIQUIDITY MANAGEMENT | CONTANGO CAPITAL ADVISORS, INC. | CONTANGO CAPITAL ADVISORS

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
16

SEC notice filing (10 States and Territories)

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

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 Accounts88
AUM (Assets Under Management)$ 1,460,957,454

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ZIONS CAPITAL ADVISORS, INC.

CRD#: 131308Houston, TX 77027

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