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Investment Adviser Firm Summary

BOK FINANCIAL SECURITIES, INC. (CRD# 17530 / SEC# 8-35381, 801-53600)
Alternate Names: BANCALBUQUERQUE INVESTMENT CENTER , BANCARIZONA INVESTMENT CENTER , BANCARKANSAS INVESTMENT CENTER , BANCKANSAS CITY INVESTMENT CENTER , BANCOKLAHOMA INVESTMENT CENTER , BANCTEXAS INVESTMENT CENTER , BANK OF ALBUQUERQUE , BANK OF ARIZONA , BANK OF ARKANSAS , BANK OF OKLAHOMA , BANK OF TEXAS , BOK FINANCIAL ADVISORS , BOK FINANCIAL ADVISORS INVESTMENT CENTER , BOK FINANCIAL SECURITIES, INC. , BOKFS , BOSC , BOSC INC. , BOSC, INC. , COLORADO STATE BANK AND TRUST , CSBT INVESTMENT CENTER , E-SPECTRUM ADVISORS , MOBANK , OPPENHEIM, DIVISION OF BOSC, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/28/1997
Arkansas Terminated 09/26/2001
New Mexico Terminated 04/26/2005
Oklahoma Terminated 04/08/2005
Texas Terminated 05/02/2002

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/21/2012
Alaska 10/17/2012
Arizona 04/03/2007
Arkansas 07/01/1998
California 01/17/2008
Colorado 10/29/2004
Connecticut 06/21/2012
Delaware 11/16/2012
District of Columbia 06/21/2012
Florida 07/23/2008
Georgia 06/03/2008
Hawaii 06/21/2012
Idaho 06/21/2012
Illinois 01/15/2009
Indiana 07/09/2012
Iowa 06/21/2012
Kansas 12/20/2006
Kentucky 06/03/2008
Louisiana 06/21/2012
Maine 06/21/2012
Maryland 11/23/2007
Massachusetts 06/21/2012
Michigan 06/21/2012
Minnesota 06/21/2012
Mississippi 10/05/2012
Missouri 01/09/2008
Montana 06/21/2012
Nebraska 09/19/2012
Nevada 12/23/2010
New Hampshire 06/21/2012
New Jersey 06/21/2012
New Mexico 09/26/2001
New York 01/09/2009
North Carolina 01/26/2009
North Dakota 06/21/2012
Ohio 06/03/2008
Oklahoma 08/18/1997
Oregon 08/30/2012
Pennsylvania 06/21/2012
Rhode Island 11/26/2012
South Carolina 11/26/2012
South Dakota 09/19/2012
Tennessee 06/21/2012
Texas 01/11/2002
Utah 01/07/2008
Vermont 10/17/2012
Virgin Islands 08/30/2012
Virginia 06/21/2012
Washington 01/25/2008
West Virginia 12/11/2012
Wisconsin 03/30/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser