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Curtis Duane Karges

Zions Direct, Inc.

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About Curtis Duane Karges

Curtis Duane Karges is a financial professional with over 25 years of experience in the industry. He has held various roles at prominent financial institutions, including J.P. Morgan Securities Inc., PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC, and FOCUS SECURITIES LLC. Curtis is currently registered with Zions Direct, Inc., and holds a Series 7, 24, 63, 79TO, and SIE license. He is licensed in all 52 states. Curtis has a deep understanding of the financial markets and a commitment to providing clients with personalized and comprehensive financial advice.

Firm Information

Curtis Karges is currently registered with Zions Direct, Inc.. Zions Direct, Inc. is a Corporation that was formed on February 7, 1986. It is registered in all 50 states, the District of Columbia, and Puerto Rico. The firm has been involved in 4 Regulatory Events and 3 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

45

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Curtis Karges’s Registration & Firm History

TX

03/22/2023 - Present

Zions Direct, Inc. (Houston TX)

VA

05/05/2020 - 03/17/2023

FOCUS SECURITIES LLC (GAINESVILLE VA)

TX

05/13/2015 - 01/07/2020

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC (Houston TX)

TX

10/01/2008 - 05/08/2015

J.P. MORGAN SECURITIES LLC (HOUSTON TX)

TX

10/22/1997 - 10/01/2008

J.P. MORGAN SECURITIES INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 12/15/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/27/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/21/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Curtis Duane Karges.
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