SM
Shawn Mangum
ZIONS CAPITAL ADVISORS
Salt Lake City, UT 84133
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CRD#: 6506631
SM
Professional summary
Shawn Mangum, who also goes by Shawn Russell Mangum, 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.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Shawn has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Russell Mangum
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.
UTAH ARMY NATIONAL GUARD; NOT INVESTMENT-RELATED; DRAPER, UT; SERGEANT; START 3/21/2007; 30 HOURS PER MONTH; ZERO HOURS DURING TRADING ; TRAIN AND PERFORM MUSICAL DUTIES FOR MILITARY AND CIVIC FUNCTIONS. 4T2D GO, NOT INV RELATED, BOUNTIFUL, UT, 100% OWNERSHIP, START 8/1/2021, 10 HOURS PER MONTH, ZERO HOURS DURING TRADING, CAR SHARING BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Mangum'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
October 22, 2024 - 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
October 16, 2024 - Present
ZIONS DIRECT, INC.
Office #1: One South Main Street, Salt Lake City, UT 84133BD
CRD#: 17776
Salt Lake City, UT
Past
July 30, 2021 - October 21, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 29, 2021 - October 21, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SALT LAKE CITY, UT
Past
August 25, 2016 - August 14, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
SALT LAKE CITY, UT
Past
August 25, 2016 - August 14, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
2 E Broadway, UT
Past
July 21, 2016 - August 14, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
SALT LAKE CITY, UT
Past
July 9, 2015 - October 22, 2015
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SANDY, 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
RR
Utah(10/16/2024)
IAR
Utah(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 2/12/2025
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 12/5/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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#: 131308Salt Lake City, UT 84133TRUST BUT VERIFY
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