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Catherine Elizabeth Novak

Zions Capital Advisors, Inc.

Houston, TX

Salt Lake City, UT

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Current Employers
Zions Capital Advisors, Inc.

Zions Capital Advisors One South Main St., 12Th Floor, Salt Lake City, UT 84133 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-02-13
  • TX RA
    APPROVED
    Since 2017-02-13

Branch Locations

1717 W. Loop South, 10Th Floor, Houston, TX 77027 • United States

Zions Capital Advisors One South Main St., 12Th Floor, Salt Lake City, UT 84133 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Zions Direct, Inc. Salt Lake City UT 06/2016 Present
  • 06/2016 → Present
    Zions Direct, Inc.
    Salt Lake City, UT
Previous Registrations
  • 2010-09-01 → 2016-04-07
    Amegy Investments, Inc.
    Houston, TX
  • 2004-01-09 → 2009-06-29
    Amegy Investments, Inc.
    Houston, TX
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-28
  • S66 Uniform Combined State Law Examination
    2000-11-28
Other Names
  • Catherine Elizabeth Frederick
  • Leisa Novak

View on SEC IAPD

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