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Roshan Harshal Dave

Zions Direct, Inc.

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About Roshan Harshal Dave

Roshan Harshal Dave is a registered representative with Zions Direct, Inc. Roshan has been in the securities industry for over 60 days and is currently registered in 52 states. Roshan holds the Series 63, Series 79TO, and SIE exams. The firm’s main office is located in Houston, Texas.

Firm Information

Roshan Dave 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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Roshan Dave’s Registration & Firm History

TX

06/21/2024 - Present

Zions Direct, Inc. (Houston TX)

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Licenses & Designations

BC

Issued 07/31/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/21/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 05/29/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roshan Harshal Dave.
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