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SM

Shane M. Miller

ZIONS DIRECT
Salt Lake City, UT 84133
Some features on this profile are disabled
CRD#: 7995968
SM

Professional summary

Shane Michael Miller is a registered financial professional currently at ZIONS DIRECT, INC. located in Salt Lake City, Utah.

Shane is registered as a RR (Registered Representative) and started their career in finance in 2024. Shane has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shane Michael Miller's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 11, 2024 - Present

ZIONS DIRECT, INC.

Office #1: One South Main Street, Salt Lake City, UT 84133
BD
CRD#: 17776
Salt Lake City, 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
California
(12/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/11/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/23/2024
Securities Industry Essentials Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZIONS BANCORPORATION, N.A.PARENT COMPANY
BURDISS, PAUL EDWARDBOARD MEMBER7267112
HASH, JENNIFER KYLECHIEF COMPLIANCE OFFICER4123554
KYRIAKAKIS, CHRISTOPHERBOARD MEMBER8020162
MACDONALD, MICHAEL WHITNEYPRESIDENT / CHIEF EXECUTIVE OFFICER4533843
MOORE, RYAN DFINOP7216248
RICHARDS, ROBERT RYANBOARD MEMBER8021252
STEWARD, DEREK STRIBLINGBOARD MEMBER8022102
YU, THOMASBOARD MEMBER7994635

Disclosures

Regulatory Event4
Arbitration3

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 84133

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