SW
Stephen L. Willden
ZIONS CAPITAL ADVISORS
Salt Lake City, UT 84133
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CRD#: 6319554
SW
Professional summary
Stephen Lawrence Willden 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.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Stephen has worked at 2 firms and has passed the Series 66, Series 50, Series 52TO, Series 79TO, SIE, Series 7, Series 4, Series 54, Series 53, Series 27 and Series 24 exams.
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.
BOARD MEMBER AND TREASURER FOR THE HARVEST HILLS MASTER HOMEOWNERS ASSOCIATION, NOT INVESTMENT RELATED, 5 HRS PER MONTH, NOT DURING BUSINESS HOURS, $10 MO.
CITY COUNCIL MEMBER FOR CITY OF SARATOGA SPRINGS, NOT INVESTMENT-RELATED, $650 PER MONTH, 20 HOURS PER MONTH NOT DURING BUSINESS HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Lawrence Willden's 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®
NoneExperience
Current
January 7, 2020 - Present
ZIONS CAPITAL ADVISORS, INC.
Office #1: Zions Capital Advisors One South Main St. 12th Floor, Salt Lake City, UT, 84133RIA
CRD#: 131308
Salt Lake City, UT
Current
April 17, 2014 - Present
ZIONS DIRECT, INC.
Office #1: One South Main Street, Salt Lake City, UT 84133BD
CRD#: 17776
Salt Lake City, UT
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
IAR
Utah(1/7/2020)
RR
Utah(1/27/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 52TO
Date: 2/25/2020
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 12/17/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ZIONS CAPITAL ADVISORS, INC.
CRD#: 131308Salt Lake City, UT 84133TRUST BUT VERIFY
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