Michael A. Lis
Professional summary
Michael Austin Lis is a registered financial professional currently at ZIONS DIRECT, INC. located in El Segundo, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2021. Michael has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Austin Lis's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 23, 2024 - Present
ZIONS DIRECT, INC.
Office #1: 200 N Pacific Coast Highway Suite 1600, El Segundo, CA 90245October 8, 2021 - October 28, 2022
CREDIT AGRICOLE SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/23/2024)
Exams
Series 79TO
Date: 3/18/2022
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 10/8/2021
General Securities Representative ExaminationFINRA
Current Firm
ZIONS DIRECT, INC.
CRD#: 17776 / SEC#: , 8-35721
Contact information
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 |
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