CRD #17776 · FINRA BrokerCheck + SEC IAPD

Zions Direct, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Zions Direct, Inc. ranks #1,106 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #2 of 29 on the same disclosure sort used on the state browse page. Zions Direct, Inc. carries 7 BrokerCheck disclosures across 5 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
5
branch offices
7
disclosures
#1,106 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 17776 Zions Direct, Inc.

Zions Direct, Inc. · Grade B · 7 disc · 1.40/office · Small firm

  • CRD 17776
  • GRADE B
  • DISC 7
  • REG 4
  • ARB 3
  • CIV 0
  • BRANCH 5
  • PER-OFF 1.40
  • RANK #1,106 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Amerivet Securities, Inc. (1.40 disc/office)

Amerivet Securities, Inc.1.40Coker & Palmer1.40Elevation, LLC1.40Zions Direct, Inc. (this)1.40
Disclosures per office among small firm peers (lower is cleaner)

Zions Direct, Inc. ranks #1,106 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.40 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

5 offices

FINRA: Small firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

4 actions

57% of all disclosures

Disclosures per office

1.40 per office

7 ÷ 5 offices

Zions Direct, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 21% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). This entry sits in this band. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 3
Civil Events 0
Total 7

Counts for Zions Direct, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 3 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Salt Lake City, UT, 84133
Formed
02/07/1986
State of Formation
Utah
CRD Number
17776
SEC Number
35721

Elevated disclosures per office

Zions Direct, Inc. in the heavier-disclosure third

Zions Direct, Inc. carries 7 BrokerCheck disclosures across 5 branch offices - a heavier-third raw book among graded firms (#1,106 of 20,055). Mix is 4 regulatory, 3 arbitration, and 0 civil (57% regulator share).

Zions Direct, Inc. runs 1.40 disclosures per branch office (cleaner than only 79% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Zions Direct, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Utah cohort · 2.78× state average

Zions Direct, Inc. sits above the Utah disclosure average

Zions Direct, Inc. reports 7 BrokerCheck disclosures, 2.78× the Utah average of 2.5 across 29 graded firms with a principal-office state on file.

In Utah, 20 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Utah state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Zions Direct, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Zions Direct, Inc. ranks #1,106 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #2 of 29 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Zions Direct, Inc.?
A grade of B reflects Zions Direct, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 7 total disclosures across 5 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Zions Direct, Inc. have?
Zions Direct, Inc. has 7 total FINRA disclosures, including 4 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Zions Direct, Inc.?
Zions Direct, Inc. operates 5 branch offices and is classified by FINRA as a small firm, registered in UT (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Zions Direct, Inc.'s disciplinary record?
You can verify Zions Direct, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17776. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Zions Direct, Inc.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Zions Direct, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Zions Direct, Inc. carries 7 disclosures across 5 branch offices (about 1.40 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Zions Direct, Inc., both outside UT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Amerivet Securities, Inc. (NY) - 1.40 disclosures/office, nearest small firm peer to Zions Direct, Inc.'s 1.40
  • Coker & Palmer (MS) - 1.40 disclosures/office, nearest small firm peer to Zions Direct, Inc.'s 1.40
  • Elevation, LLC (NC) - 1.40 disclosures/office, nearest small firm peer to Zions Direct, Inc.'s 1.40
  • Firms in UT - state roster that includes Zions Direct, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Zions Direct, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 7 disclosures behind Zions Direct, Inc.'s Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Zions Direct, Inc..
  • Compare firms - put Zions Direct, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.