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Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2008 (3 years)2 FIRMS2008 - 2023 (14 years)2 FIRMS2023 - Present (2 years)
Disclosure(s)
View By:
1/18/2024
Customer Dispute
Denied
12/8/2022
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 2/15/2023

B
Nevada 3/15/2023

B
Arizona 2/22/2023

B
New Jersey 2/15/2023

IA
Arizona 2/22/2023

B
New Mexico 1/24/2023

B
California 1/24/2023

IA
New Mexico 2/13/2023

B
Colorado 2/22/2023

B
New York 1/24/2023

IA
Colorado 2/22/2023

B
North Carolina 3/13/2023

B
Georgia 1/24/2023

B
North Dakota 1/24/2023

B
Hawaii 2/21/2023

B
Oklahoma 2/10/2023

B
Idaho 1/27/2023

IA
Oklahoma 2/10/2023

B
Indiana 1/24/2023

B
Pennsylvania 2/24/2023

B
Kansas 1/24/2023

B
South Carolina 1/24/2023

IA
Kansas 1/24/2023

IA
Texas 1/24/2023

B
Louisiana 2/13/2023

B
Texas 1/11/2024

B
Maryland 1/24/2023

B
Virginia 1/24/2023

B
Michigan 1/24/2023

B
West Virginia 1/24/2023

B
Minnesota 3/15/2023

B
Wisconsin 2/6/2023

B
Mississippi 1/24/2023

IA
Wisconsin 2/7/2023

B
Missouri 3/17/2023

B
Wyoming 1/24/2023

IA
Missouri 3/17/2023

SRO Registrations

B
FINRA

B
NYSE Arca, Inc.

B
Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AEGIS CAPITAL CORP. (CRD#:15007)
Tulsa, OK
Registered with this firm since 1/24/2023

B
AEGIS CAPITAL CORP. (CRD#:15007)
Tulsa, OK
Registered with this firm since 1/24/2023

Previous Registration(s)
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IA
08/01/2008 - 01/05/2023 BOK FINANCIAL ADVISORS (CRD#:17530) Tulsa, OK
B
08/01/2008 - 01/05/2023 BOK FINANCIAL SECURITIES, INC. (CRD#:17530) Tulsa, OK
IA
11/12/2004 - 07/22/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TULSA, OK
B
10/18/2004 - 07/22/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TULSA, OK
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.