SourcingSourcing

BOK FINANCIAL SECURITIES, INC.

C40
CRD 17530·SEC 801-53600·TULSA, OK
AUM
$1.06B
$1B+
Est. Revenue
$10.6M
@ 1% on AUM
Est. EBITDA
$3.2M
@ 30% margin
Est. Deal Value
$25.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BOK FINANCIAL SECURITIES, INC.
CRD
17530
SEC file #
801-53600
EIN
336849064
DBA names
Bok Financial Advisors

Economics

AUM
$1.06B
AUM band
$1B+
AUM trajectory
'20'26
$754.0M → $1.06B▲ +40%
Client mix
Individuals Other2,914
Individuals High Net Worth349
Other37
Corporations29
Charitable Organizations5

Operations

Employees (total)
165
Advisory staff (per ADV)
142
Advisory staff (5-yr trend)
'20'26
164 advisors → 142 advisors▼ -13%
Primary office
TULSA OK
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
facebook.com/bokfinancialadvisors(social)

Compliance

Disclosures (firm)
5
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BOK FINANCIAL CORPORATION
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
10
Control Persons
BOK FINANCIAL CORPORATION
DEAN, BRETT ALAN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002075636
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2025-07-02
Edgar Last Filing Date
2026-03-11
Edgar Form D Count
2
Edgar Form D Offerings
2026-03-112026-03-11 · 0002075636-26-000001
2025-07-022025-07-02 · 0002075636-25-000001

Local market & wealth

Rank targets by how wealthy the local market is

Fdic Zip Total Deposits
113,771,000
Fdic Zip Branch Count
23
Fdic Zip Top Banks
Liberty Bank and Trust Company of Tulsa, National Association
Bank of Oklahoma, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (15)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
49
Bc Firm Active IA Count
12
Bc Firm IAR Count
50
Custodian Candidates
Full
Pershing4
E*trade4
State Street1
Edgar Addresses
Mailing
1200 17TH STREETSUITE 2900DENVER, CO 80202
Business
1200 17TH STREETSUITE 2900DENVER, CO 80202
Edgar EIN
336849064
Edgar Recent Filings
D/A2026-03-11 · 0002075636-26-000001
D2025-07-02 · 0002075636-25-000001
Fdic Zip Branches Raw
Liberty Bank and Trust Company of Tulsa, National AssociationTulsa, OK
Liberty Bank and Trust Company of Tulsa, National AssociationTulsa, OK
Fdic Zip HHI
3856.42
Fdic Zip Top Bank Share Pct
51.94
Fdic Zip Year
2011
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (56)

56
MAHANEY, MINDY MARGARET
IAR · Executive Officer · 2.5%
6403627
DEAN, BRETT ALAN
IAR · Executive Officer · 2.5%
1716141
GRAUER, SCOTT BRADLEY
IAR · Executive Officer · 2.5%
1509326
Catherine Joanne Dodson
Executive Officer · 2.5%
6857597
Thomas Coy Gallatin
Executive Officer · 2.5%
5971928
Rebecca Rose Parrish
Executive Officer · 2.5%
6273251
James Augustus Shaw
Executive Officer · 2.5%
1264136
James Bradford Steele
Executive Officer · 2.5%
6317520
Jon Craig Swanson
Executive Officer · 2.5%
5010899
CECILE HALL BASKETT
IAR
4893871
BRYAN CURTIS PEAKE
IAR
6124882
Carl John Goetz
IAR
5679876
ZACHARY M ROBINSON
IAR
5344056
Ajay Ganju
IAR
4699475
Donald Louis Ross
IAR
2474878
Stephen Howard Brown
IAR
6331750
Dennis Reuben Romero
IAR
2978991
Kathy Gale Dick
IAR
4963396
Carolyn Diane Barnette
IAR
8007376
Denise Charlene Ball
IAR
6010020
Olga Lucia Mathis
IAR
6446025
Wendy Sue Blair
IAR
6228174
Christi Cheri Keiser
IAR
5746055
Hal Jerome Brown
IAR
2861849
Wesley Robert Rothove
IAR
4449950
Brandi Marie Andrus
IAR
7540526
Dorlinda Lea Dill
IAR
4188349
Mark Anthony Kharitou
IAR
2994281
Dee Anna Nichol Morris Dreiling
IAR
4528552
Andrea Denise White
IAR
6009668
Jacob Michael Kemna
IAR
7575211
Cole Trent Dekinder
IAR
6809268
Robert William Harper
IAR
6164292
Jonathan Mark Meyer
IAR
6774426
Nicole Angelique Gilbert
IAR
2313754
Michelle Stacy Bennett
IAR
5573548
John Michael Krenger
IAR
6711059
William Ryan Weller
IAR
4645425
Tyler James Thalken
IAR
6089700
Brandy Anne Strader
IAR
1991778
Scott Thompson Miller
IAR
6712981
Kimberlee Flake Whiteman
IAR
5042153
Jeremy Brent Johnson
IAR
3264137
John Kenneth Howk
IAR
2631305
Marcy Catherine Rooker
IAR
6160697
Robert Harry Lambright
IAR
4805278
Guy Carmen Evangelista
IAR
2384655
Antje P Hilarius
IAR
6711384
Christine Marie Rosencrans
IAR
3254550
Christopher John Maloney
IAR
2847060
Matthew Samuel Smith
IAR
6350421
Alexander Hines Trlica
IAR
7780346
Jeff William Edwards
IAR
5180941
Omar Garcia
IAR
5874779
Daniel Gregory Ciriacks
IAR
7816280
John Joseph Moynihan
IAR
1335237