John M. Schellpfeffer

ZIONS DIRECT

Charlotte, NC 28209

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CRD#: 4601897

Professional summary

John Manfred Schellpfeffer is a registered financial professional currently at ZIONS DIRECT, INC. located in Charlotte, North Carolina.

John is registered as a RR (Registered Representative) and started their career in finance in 2003. John has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view John Manfred Schellpfeffer'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

July 14, 2022 - Present

ZIONS DIRECT, INC.

Office #1: 5605 Carnegie Blvd Suite 250, Charlotte, NC 28209

CRD#: 17776

Charlotte, NC

Past

April 23, 2010 - June 10, 2022

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

July 1, 2003 - September 9, 2009

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

January 30, 2003 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

North Carolina
(7/14/2022)

Exams

State Security Law Exam

Series 63

Date: 9/16/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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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John M. Schellpfeffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Manfred Schellpfeffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/2003

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2003

FINRA

Current Firm

ZIONS DIRECT, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ZIONS DIRECT, INC.

TRUST BUT VERIFY

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