RD
Roshan H. Dave
ZIONS DIRECT
Houston, TX 77027
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CRD#: 7715532
RD
Professional summary
Roshan Harshal Dave is a registered financial professional currently at ZIONS DIRECT, INC. located in Houston, Texas.
Roshan is registered as a RR (Registered Representative) and started their career in finance in 2024. Roshan has worked at 1 firm and has passed the Series 63, Series 79TO 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 Roshan Harshal Dave'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
June 21, 2024 - Present
ZIONS DIRECT, INC.
Office #1: 1717 West Loop South 22nd Floor, Houston, TX 77027BD
CRD#: 17776
Houston, TX
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(8/5/2024)
RR
Alaska(8/5/2024)
RR
Arizona(8/5/2024)
RR
Arkansas(8/5/2024)
RR
California(8/5/2024)
RR
Colorado(8/5/2024)
RR
Connecticut(8/5/2024)
RR
Delaware(8/5/2024)
RR
District of Columbia(8/5/2024)
RR
Florida(8/5/2024)
RR
Georgia(8/5/2024)
RR
Hawaii(8/5/2024)
RR
Idaho(8/5/2024)
RR
Illinois(8/5/2024)
RR
Indiana(8/5/2024)
RR
Iowa(8/5/2024)
RR
Kansas(8/5/2024)
RR
Kentucky(8/5/2024)
RR
Louisiana(8/5/2024)
RR
Maine(8/5/2024)
RR
Maryland(8/5/2024)
RR
Massachusetts(8/5/2024)
RR
Michigan(8/5/2024)
RR
Minnesota(8/5/2024)
RR
Mississippi(8/5/2024)
RR
Missouri(8/5/2024)
RR
Montana(8/5/2024)
RR
Nebraska(8/5/2024)
RR
Nevada(8/5/2024)
RR
New Hampshire(8/5/2024)
RR
New Jersey(8/5/2024)
RR
New Mexico(8/5/2024)
RR
New York(8/5/2024)
RR
North Carolina(8/5/2024)
RR
North Dakota(8/5/2024)
RR
Ohio(8/5/2024)
RR
Oklahoma(8/5/2024)
RR
Oregon(8/5/2024)
RR
Pennsylvania(8/5/2024)
RR
Puerto Rico(8/5/2024)
RR
Rhode Island(8/5/2024)
RR
South Carolina(8/5/2024)
RR
South Dakota(8/5/2024)
RR
Tennessee(8/5/2024)
RR
Texas(8/1/2024)
RR
Utah(8/5/2024)
RR
Vermont(8/5/2024)
RR
Virginia(8/5/2024)
RR
Washington(8/5/2024)
RR
West Virginia(8/5/2024)
RR
Wisconsin(8/5/2024)
RR
Wyoming(8/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 6/21/2024
Investment Banking Registered 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)
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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)
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.
