Full text of BOK FINANCIAL SECURITIES, INC.'s X-17A-5 filed 2021-02-02 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EX CHAN GE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-01 23 Expires: October 31, 2023 Estimated average burden hours per response .. . ... 12.00 SEC FILE NUMBER a-35381 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERJOD BEGINNING | 01 /01 /2020<br>~~~~~~~~~~~ | AND ENDING | 12/31/2020 | ~~~~~~~~~~~ | | | | |-----------------------------------------------------------------------------------------------------------|-------------------------------------------------------|---------------|------------|--------------------------------|--|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF BROKER-DEALER: BOK Financial Securities, Inc. | | | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM l.D. NO. | | | | | | | One Willi.ams Center,, Plaza East | | | | | | | | | | (No. and Street) | | | | | | | | Tulsa | Oklahoma | | 74172 | | | | | | (City) | (State) | | (Zip Code) | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO nns REPORT<br>Robert Ledvora (405) 272 - 2311 | | | | | | | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Repo1i* | | | | | | | | | Ernst & Young LLP | | | | | | | | | | (Name - ifi11dMd11af, stale fast, first. middle name) | | | | | | | | One Williams Center, Suite1700 | Tulsa | | Oklahoma | 74172 | | | | | (Address) | (City) | (State) | | (Zip Code) | | | | | CHECK ONE: | | | | | | | | | I./ I<br>certified Public Accountant | | | | | | | | | Public Accountant | | | | | | | | | B<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption fi'om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e){2)* > Potential persons who are to respond to the collection of Information contained in this form are not required to respond unless the f…Read the full text as markdown