JS
Jocelyn Sudweeks
ZIONS DIRECT
Salt Lake City, UT 84133
Some features on this profile are disabled
CRD#: 7322409
JS
Professional summary
Jocelyn Sudweeks is a registered financial professional currently at ZIONS DIRECT, INC. located in Salt Lake City, Utah.
Jocelyn is registered as a RR (Registered Representative) and started their career in finance in 2021. Jocelyn has worked at 3 firms and has passed the Series 66, Series 52TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Jocelyn Sudweeks'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 13, 2022 - Present
ZIONS DIRECT, INC.
Office #1: One South Main Street, Salt Lake City, UT 84133BD
CRD#: 17776
Salt Lake City, UT
Past
April 23, 2021 - September 30, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
AMERICAN FORK, UT
Past
March 2, 2021 - September 24, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
AMERICAN FORK, UT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(11/4/2022)
RR
Alaska(11/4/2022)
RR
Arizona(11/4/2022)
RR
Arkansas(11/4/2022)
RR
California(11/4/2022)
RR
Colorado(11/4/2022)
RR
Connecticut(11/4/2022)
RR
Delaware(11/4/2022)
RR
District of Columbia(11/4/2022)
RR
Florida(11/4/2022)
RR
Georgia(11/4/2022)
RR
Hawaii(11/4/2022)
RR
Idaho(11/4/2022)
RR
Illinois(11/4/2022)
RR
Indiana(11/4/2022)
RR
Iowa(11/4/2022)
RR
Kansas(11/4/2022)
RR
Kentucky(11/4/2022)
RR
Louisiana(11/4/2022)
RR
Maine(11/4/2022)
RR
Maryland(11/4/2022)
RR
Massachusetts(11/4/2022)
RR
Michigan(11/4/2022)
RR
Minnesota(11/4/2022)
RR
Mississippi(11/4/2022)
RR
Missouri(11/4/2022)
RR
Montana(11/4/2022)
RR
Nebraska(11/4/2022)
RR
Nevada(11/4/2022)
RR
New Hampshire(11/4/2022)
RR
New Jersey(11/4/2022)
RR
New Mexico(11/4/2022)
RR
New York(11/4/2022)
RR
North Carolina(11/4/2022)
RR
North Dakota(11/4/2022)
RR
Ohio(11/7/2022)
RR
Oklahoma(11/4/2022)
RR
Oregon(11/4/2022)
RR
Pennsylvania(11/4/2022)
RR
Puerto Rico(11/4/2022)
RR
Rhode Island(11/4/2022)
RR
South Carolina(11/4/2022)
RR
South Dakota(11/4/2022)
RR
Tennessee(11/4/2022)
RR
Texas(11/4/2022)
RR
Utah(10/13/2022)
RR
Vermont(11/4/2022)
RR
Virginia(11/4/2022)
RR
Washington(11/4/2022)
RR
West Virginia(11/4/2022)
RR
Wisconsin(11/4/2022)
RR
Wyoming(11/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/8/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 3/2/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ZD
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
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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
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 DIRECT, INC.
CRD#: 17776Salt Lake City, UT 84133TRUST BUT VERIFY
Monitor Jocelyn Sudweeks
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
