James Augustus Shaw
Professional Summary
James Augustus Shaw, who also goes by Jim Shaw, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Tulsa, Oklahoma. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Shaw
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
Years of Experience
42 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
Current Firm
BANCALBUQUERQUE INVESTMENT CENTER | OPPENHEIM, DIVISION OF BOSC, INC. | MOBANK | E-SPECTRUM ADVISORS | CSBT INVESTMENT CENTER | COLORADO STATE BANK AND TRUST | BOSC, INC. | BOSC INC. | BOKFS | BOK FINANCIAL SECURITIES, INC. | BOK FINANCIAL SECURITIES | BOK FINANCIAL ADVISORS INVESTMENT CENTER | BOK FINANCIAL ADVISORS | BOK FINANCIAL | BANK OF TEXAS | BANK OF OKLAHOMA | BANK OF ARKANSAS | BANK OF ARIZONA | BANK OF ALBUQUERQUE | BANCTEXAS INVESTMENT CENTER | BANCOKLAHOMA INVESTMENT CENTER | BANCKANSAS CITY INVESTMENT CENTER | BANCARKANSAS INVESTMENT CENTER | BANCARIZONA INVESTMENT CENTER
Contact Information
Main Address
One Williams Center Plaza Southeast, Tulsa, OK 74102Mailing Address
P.o. Box 2300, Tulsa, OK 74192Phone Number
(918) 588-6000Established
Oklahoma since 12/23/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
165SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOK FINANCIAL CORPORATION | DIRECT BENEFICIAL OWNER | — |
| DODSON, CATHERINE JOANNE | CFO/FINOP | 6857597 |
| GANDER, CHRISTOPHER ARDEN | SVP, DIRECTOR OF OKLAHOMA PUBLIC FINANCE | 2931550 |
| GARDINER, CELESTE DELANEY | SVP, DIRECTOR, INSTITUTIONAL SALES | 2495180 |
| GRAUER, SCOTT BRADLEY | CEO, CHAIRMAN | 1509326 |
| MAHANEY, MINDY MARGARET | BOKFS BOARD MEMBER | 6403627 |
| MCLAUGHLIN, JOSHUA MICHAEL | SVP, DIRECTOR OF TEXAS PUBLIC FINANCE | 2958620 |
| PARRISH, REBECCA ROSE | SVP, CHIEF COMPLIANCE OFFICER | 6273251 |
| READ, JONATHAN CLIFFORD | SVP, CHIEF OPERATING OFFICER | 8083229 |
| SHAW, JAMES AUGUSTUS | SVP, DIRECTOR OF RETAIL SALES | 1264136 |
| STEELE, JAMES BRADFORD | PRESIDENT | 6317520 |
| SWANSON, JON CRAIG | BOKFS BOARD MEMBER | 5010899 |
| WENTZ, KEITH FRANCIS MICHAEL IV | SVP, DIRECTOR, INSTITUTIONAL TRADING | 8149018 |
Regulatory Assets Under Management
Total Number of Accounts
3,330AUM (Assets Under Management)
$1,058,021,768Disclosures
Regulatory Event
12Arbitration
2Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
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.
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
Primary Firm SEC Registration
BANCALBUQUERQUE INVESTMENT CENTER | OPPENHEIM, DIVISION OF BOSC, INC. | MOBANK | E-SPECTRUM ADVISORS | CSBT INVESTMENT CENTER | COLORADO STATE BANK AND TRUST | BOSC, INC. | BOSC INC. | BOKFS | BOK FINANCIAL SECURITIES, INC. | BOK FINANCIAL SECURITIES | BOK FINANCIAL ADVISORS INVESTMENT CENTER | BOK FINANCIAL ADVISORS | BOK FINANCIAL | BANK OF TEXAS | BANK OF OKLAHOMA | BANK OF ARKANSAS | BANK OF ARIZONA | BANK OF ALBUQUERQUE | BANCTEXAS INVESTMENT CENTER | BANCOKLAHOMA INVESTMENT CENTER | BANCKANSAS CITY INVESTMENT CENTER | BANCARKANSAS INVESTMENT CENTER | BANCARIZONA INVESTMENT CENTER
State Registrations and Notice Filings
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(4/8/2025)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(10/3/2019)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(4/8/2025)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(3/1/2018)
(3/1/2018)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
(1/13/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Feb 2001About the Series 26 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary) - RIA
Click below to view James Augustus Shaw's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Augustus Shaw's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
CORNERSTONE WEALTH MANAGEMENT, LLC
