James S. Rossi

BOK FINANCIAL SECURITIES

Memphis, TN 38120

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CRD#: 1174792

Professional summary

James Swirles Rossi, who also goes by Jim Rossi, is a registered financial professional currently at BOK FINANCIAL SECURITIES, INC. located in Memphis, Tennessee.

James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 6 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Rossi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Swirles Rossi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 17, 2016 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 1661 International Dr. Ste. 150, Memphis, TN 38120

RIA

CRD#: 17530

Memphis, TN

Past

October 1, 2007 - December 23, 2015

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

October 6, 1999 - September 5, 2007

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

November 26, 1997 - October 4, 1999

WILLIAM R. HOUGH & CO.

CRD#: 2235

ST. PETERSBURG, FL

Past

January 21, 1991 - November 19, 1997

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

August 24, 1983 - December 31, 1990

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530 / SEC#: 801-53600, 8-35381

RIA

Registered Investment Advisory firm - SEC (1/28/1997 Approved)

Arkansas

Registered Investment Advisory firm - SEC (9/26/2001 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (4/26/2005 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (4/8/2005 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/25/2025)

Arizona
(11/6/2019)

California
(2/17/2016)

Colorado
(2/23/2016)

Connecticut
(2/18/2016)

Florida
(2/22/2016)

Georgia
(2/23/2016)

Illinois
(10/5/2018)

Iowa
(4/22/2025)

Kansas
(7/19/2016)

Kentucky
(2/18/2016)

Maryland
(2/24/2016)

Massachusetts
(4/11/2023)

Minnesota
(4/16/2025)

Missouri
(4/15/2025)

Nebraska
(3/25/2016)

New Jersey
(2/29/2016)

New Mexico
(3/23/2023)

New York
(2/23/2016)

North Carolina
(4/14/2025)

Pennsylvania
(4/15/2025)

Tennessee
(5/3/2023)

Texas
(2/23/2016)

Utah
(11/5/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530 / SEC#: 801-53600, 8-35381

RIA

Registered Investment Advisory firm - SEC (1/28/1997 Approved)

Arkansas

Registered Investment Advisory firm - SEC (9/26/2001 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (4/26/2005 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (4/8/2005 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

One Williams Center Plaza Southeast, Tulsa, OK 74102

Mailing Address

P.o. Box 2300, Tulsa, OK 74192

Phone number

(918) 588-6000

Established

Oklahoma since 12/23/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

165

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BOKFA WRAP FEE PROGRAM BROCHURE (6/16/2025)

BOKFA INVESTON WRAP FEE PROGRAM BROCHURE (6/16/2025)

BOKFA PART 2A FIRM BROCHURE (6/16/2025)

Direct owners and executive officers

Name	Position	CRD#
BOK FINANCIAL CORPORATION	DIRECT BENEFICIAL OWNER
DEAN, BRETT ALAN	PRESIDENT	1716141
DODSON, CATHERINE JOANNE	CFO/FINOP	6857597
GALLATIN, THOMAS COY	EXECUTIVE DIRECTOR, ENERGY BANKING	5971928
GRAUER, SCOTT BRADLEY	CEO, CHAIRMAN	1509326
MAHANEY, MINDY MARGARET	BOKFS BOARD MEMBER	6403627
PARRISH, REBECCA ROSE	CHIEF COMPLIANCE OFFICER	6273251
SHAW, JAMES AUGUSTUS	SVP, DIRECTOR OF RETAIL SALES	1264136
STEELE, JAMES BRADFORD	SVP, CHIEF OPERATING OFFICER	6317520
SWANSON, JON CRAIG	BOKFS BOARD MEMBER	5010899

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 835,622,979

Disclosures

Regulatory Event	12
Arbitration	2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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James S. Rossi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Swirles Rossi's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

MORGAN KEEGAN & COMPANY, LLC

WILLIAM R. HOUGH & CO.

RAUSCHER PIERCE REFSNES, INC.

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1983

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1983

FINRA

Current Firm

BOK FINANCIAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BOK FINANCIAL SECURITIES, INC.

TRUST BUT VERIFY

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