BOK FINANCIAL SECURITIES, INC. of TULSA, OK is an SEC-registered investment adviser (CRD 17530). Regulatory assets under management: $1.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 60 people.
| Name | Role | Location |
|---|---|---|
| George Bruce Kaiser | INDIRECT BENEFICIAL OWNER | — |
| Brett Alan Dean | PRESIDENT | — |
| Scott Bradley Grauer | CEO, CHAIRMAN | — |
| James Bradford Steele | SVP, CHIEF OPERATING OFFICER | — |
| Jon Craig Swanson | BOKFS BOARD MEMBER; SVP, CHIEF COMPLIANCE OFFICER | — |
| Mindy Margaret Mahaney | BOKFS BOARD MEMBER | — |
| James Augustus Shaw | SVP, DIRECTOR OF RETAIL SALES | — |
| Thomas Coy Gallatin | EXECUTIVE DIRECTOR, ENERGY BANKING | — |
| Catherine Joanne Dodson | CFO/FINOP | — |
| John Malone Coffman | SVP, OPERATIONS MANAGER | — |
| NICHOLS ROBERT WAYNE | SENIOR VICE PRESIDENT; TRADER/MUNICIPAL PRINCIPAL | — |
| DEAN ROBERT ALAN | CHIEF OPERATING OFFICER; MANAGING DIRECTOR & CHIEF OPERATING OFFICER; MANAGING DIRECTOR OF INSTITUTIONAL INVESTMENTS (+2 more) | — |
| KAISER GEORGE BRUCE | INDIRECT BENEFICIAL OWNER | — |
| WILLIAMS THOMAS KEITH | SVP, INST. SALES & TRADING MANAGER | — |
| HATLEY MORRIS LEE | PRESIDENT,OPPENHEIM DIV. | — |
| GRAUER SCOTT BRADLEY | CEO, CHAIRMAN; CEO, VICE CHAIRMAN; PRESIDENT & CEO (+1 more) | — |
| WALDO JOHN NEILL | SR. INVESTMENT BANKER; SR. INVESTMENT BANKER, SVP | — |
| FERGUSON TALLY MEAD | COMPLIANCE REGISTERED OPTIONS PRINCIPAL; DIRECTOR OF COMPLIANCE; DIRECTOR OF COMPLIANCE & CROP (+3 more) | — |
| DAVIDSON DAWN MICHELLE | FIN-OP & TREASURER | — |
| BRADSHAW STEVEN GLEN | CHAIRMAN OF BOARD OF DIRECTORS; SEVP, CHAIRMAN OF BOARD OF DIRECTORS | — |
| COFFMAN JOHN MALONE | MUNICIPAL PRINCIPAL; SVP, MUNICIPAL PRINCIPAL; SVP, OPERATIONS MANAGER | — |
| CAPPS JOE DON | MUNICIPAL PRINCIPAL; TRADER; VP, TRADING | — |
| WATSON MERIDETH GLEN | INST. SALES MANAGER & SVP; INST. SALES & TRADING MANAGER, SVP; SALES MANAGER & MUNICIPAL PRINCIPAL | — |
| ROBB ARTHUR DONALD JR | SALES MANAGER & MUNICIPAL PRINCIPAL; SALES MANAGER & SVP | — |
| ROBERSON RONALD ALONZO | TRADER/GENERAL PRINCIPAL; VP, INSTITUTIONAL | — |
Showing 10 of 12 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-25 | regulatory | FINRA ALLEGED THAT FROM DECEMBER 2016 THROUGH AUGUST 2023, BOK FINANCIAL INACCURATELY REPORTED TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) APPROXIMATELY 24,200 TRANSACTIONS WITHOUT THE REQUIRED "NO REMUNERATION" (NR) INDICATOR, IN VIOLATION OF FINRA RULES 6730(D) AND 2010. FINRA ALLEGED THA… | Final | $110K |
| 2019-03-11 | regulatory | THESE PROCEEDINGS ARISE OUT OF BREACHES OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURES BY REGISTERED INVESTMENT ADVISER BOK FINANCIAL SECURITIES, INC. IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE FEES IT AND ITS ASSOCIATED PERSONS RECEIVED PURSUANT TO RULE 12B-1 UNDER THE… | Final | — |
| 2017-10-02 | regulatory | FINRA ALLEGED THAT THE FIRM FAILED TO MAINTAIN APPROXIMATELY 732,000 ELECTRONIC BROKERAGE RECORDS IN NON-ERASABLE AND NON-REWRITEABLE FORMAT, KNOWN AS WORM FORMAT, AS REQUIRED BY SECTION 17(A) OF THE EXCHANGE ACT OF 1934, EXCHANGE ACT RULE 17A-4(F), NASD RULE 3110 AND FINRA RULE 4511. FINRA ALSO ALL… | Final | $175K |
| 2016-09-09 | regulatory | ON SEPTEMBER 9, 2016, BOKF, NA ("BOKF"), AN AFFILIATE OF BOK FINANCIAL SECURITIES, INC., ENTERED INTO A CONSENT DECREE (THE "CONSENT DECREE') WITH THE SECURITIES EXCHANGE COMMISSION (THE "SEC"). BOKF NEITHER ADMITTED NOR DENIED THE FINDINGS OF THE CONSENT DECREE. THIS MATTER RELATES TO BOKF'S RELATI… | Final | $600K |
| 2015-06-18 | regulatory | THE MATTER INVOLVES VIOLATIONS OF AN ANTI-FRAUD PROVISION OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH BOSC'S UNDERWRITING OF CERTAIN MUNICIPAL SECURITIES OFFERINGS. BOSC CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE… | Final | $250K |
| 2012-01-10 | regulatory | MSRB RULES G-17, G30(A)- BOSC, INC. PURCHASED MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM A CUSTOMER AND/OR SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TO A CUSTOMER AT AN AGGREGATE PRICE (INCLUDING ANY MARKDOWN OR MARKUP)THAT WAS NOT FAIR AND REASONABLE. TAKING INTO CONSIDERATION ALL RELEVANT F… | Final | $75K |
| 2009-04-29 | regulatory | SEC RULE 17A3, NASD RULES 2110, 3010, 6230A, L 6230C8, MSRB RULES G-8A, G-14, G-17, G-27, G-27A, G-27C, G-30A; BOSC, INC. PURCHASED MUNICIPAL SECURITIES FOR ITS OWN ACCT. FROM A CUSTOMER &/OR SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCT. TO A CUSTOMER AT AN AGGFREGATE PRICE (INCLUDING ANY MKDN OR MKUP… | Final | $80K |
| 2005-09-06 | regulatory | NASD RULES 2110, 3010,6230(A) - FAILED TO REPORT TO TRACE TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 75 MINUTES AFTER EXECUTION; SUPERVISORY SYSTEM DID NOT PROVIDE SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF… | Final | $15K |
| 2005-06-28 | regulatory | MSRB RULE G-14 AND G 27 - RESPONDENT FIRM FAILED TO TIMELY REPORT ITS MUNICIPAL SECURITIES CUSTOMER TRANSACTIONS TO THE MSRB. THE FIRM FAILED TO MONITOR ITS TRADE REPORTING TO ENSURE COMPLIANCE WITH MSRB RULE G-14. | Final | $30K |
| 2004-05-25 | regulatory | NASD CONDUCT RULE 2110 AND SEC RULE 15C3-1 - RESPONDENT MEMBER ENGAGED IN A SECURITIES BUSINESS WHEN THE FIRM'S NET CAPITAL WS BELOW THE REQUIRE3D MINIMUM AS PRESCRIBED BY THE SEC RULE. | Final | $8K |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| TULSA | OK | 28 | 918-588-8283 |
| OKLAHOMA CITY | OK | 21 | 4052722261 |
| TULSA | OK | 11 | 918-593-7990 |
| TULSA | OK | 8 | 9185886757 |
| FORT WORTH | TX | 7 | 8173485774 |
| LITTLE ROCK | AR | 7 | 5014823200 |
| HOUSTON | TX | 5 | (713)-256-5637 |
| TULSA | OK | 5 | 9184935242 |
| DALLAS | TX | 4 | 2143463906 |
| PLANO | TX | 3 | 214-576-0880 |
| GRAPEVINE | TX | 2 | 214-575-1951 |
| MUSKOGEE | OK | 2 | 9186847836 |
| PLANO | TX | 2 | (972)-378-7326 |
| DENVER | CO | 2 | 303-863-4473 |
| OKLAHOMA CITY | OK | 2 | 405-616-7520 |