Full text of ZIONS DIRECT, INC.'s X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: KĐƚ͘ϯϭ͕ϮϬϮϯ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 008-35721 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------|----------------------------------------------------------------------------------------------------------------------|------------|--|--|--|--|--| | | 01/01/21 | 12/31/21 | | | | | | | | | FILING FOR THE PERIOD BEGINNING _____________________ AND ENDING ______________________<br>MM/DD/YY<br>MM/DD/YY | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | Zions Direct, Inc.<br>NAME OF FIRM: _______________________________________________________________________ | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>■<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆<br>Security-based swap dealer | Major security-based swap participant | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | One South Main Street | | | | | | | | | | | _____________________________________________________________________________________ | (No. and Street) | | | | | | | | | | Salt Lake City<br>_____________________________________________________________________________________ | UT | | | 84133 | | | | | | | (City) | (State) | | | (Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | Ryan Moore | (424) 290-5115 | | Ryan.Moore@zionsbancorp.com<br>_____________________________________________________________________________________ | | | | | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLP<br>_____________________________________________________________________________________ | | | | | | | | | | | | (Name – if individual,…Read the full text as markdown