James A. Shaw

BOK FINANCIAL SECURITIES

Tulsa, OK 74172

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CRD#: 1264136

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Shaw

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.

NAME: FUTURO INVESTMENT LLC ADDRESS: 5347 S. VALENTIA WAY; SUITE # 320; GREENWOOD VILLAGE COLORADO; 80111 INVESTMENT RELATED (Y/N): N START DATE: 12/01/08 POSITION HELD: MINORITY OWNER NATURE OF OUTSIDE BUSINESS: FUND INTEREST IN COLORADO LLC, WHICH WILL OWN AND OPERATE UP TO TEN (10) BLACK-EYED PEA RESTAURANTS IN COLORADO HRS/MO: 2-3 HRS/MO DURING SECURITIES TRADING: 0 BRIEF DESCRIPTION OF DUTIES: INVESTOR - NO DAY TO DAY ACTIVITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Augustus Shaw's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Augustus Shaw'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

March 1, 2018 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: One Williams Center, Tulsa, OK 74172

RIA

CRD#: 17530

Tulsa, OK

Current

March 1, 2018 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: One Williams Center, Tulsa, OK 74172

RIA

CRD#: 17530

Tulsa, OK

Past

December 15, 2011 - July 11, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

OKLAHOMA CITY, OK

Past

September 30, 2011 - July 11, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

OKLAHOMA CITY, OK

Past

November 25, 1997 - July 1, 2010

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

TUCSON, AZ

Past

May 21, 1996 - November 25, 1997

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

January 5, 1993 - May 2, 1996

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

January 9, 1991 - December 7, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 6, 1990 - January 7, 1991

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

August 6, 1987 - November 16, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

June 18, 1987 - August 17, 1987

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

Past

April 25, 1986 - April 14, 1987

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

Past

June 20, 1984 - March 26, 1986

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(1/13/2021)

Alaska
(1/13/2021)

Arizona
(1/13/2021)

Arkansas
(1/13/2021)

California
(1/13/2021)

Colorado
(1/13/2021)

Connecticut
(1/13/2021)

Delaware
(4/8/2025)

District of Columbia
(1/13/2021)

Florida
(1/13/2021)

Georgia
(1/13/2021)

Hawaii
(1/13/2021)

Idaho
(1/13/2021)

Illinois
(10/3/2019)

Indiana
(1/13/2021)

Iowa
(1/13/2021)

Kansas
(1/13/2021)

Kentucky
(1/13/2021)

Louisiana
(1/13/2021)

Maine
(1/13/2021)

Maryland
(1/13/2021)

Massachusetts
(1/13/2021)

Michigan
(1/13/2021)

Minnesota
(1/13/2021)

Mississippi
(1/13/2021)

Missouri
(1/13/2021)

Montana
(1/13/2021)

Nebraska
(1/13/2021)

Nevada
(1/13/2021)

New Hampshire
(4/8/2025)

New Jersey
(1/13/2021)

New Mexico
(1/13/2021)

New York
(1/13/2021)

North Carolina
(1/13/2021)

North Dakota
(1/13/2021)

Ohio
(1/13/2021)

Oklahoma
(3/1/2018)

IAR

Oklahoma
(3/1/2018)

Oregon
(1/13/2021)

Pennsylvania
(1/13/2021)

Rhode Island
(1/13/2021)

South Carolina
(1/13/2021)

South Dakota
(1/13/2021)

Tennessee
(1/13/2021)

Texas
(1/13/2021)

Utah
(1/13/2021)

Vermont
(1/13/2021)

Virginia
(1/13/2021)

Washington
(1/13/2021)

West Virginia
(1/13/2021)

Wisconsin
(1/13/2021)

Wyoming
(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

State Security Law Exam

IAR

Series 65

Date: 12/12/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/1984

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: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 2/22/2001

Investment Company Products/Variable Contracts Principal 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James A. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

DAVIS DISTRIBUTORS, LLC

DWS DISTRIBUTORS, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

U.S. BANCORP INVESTMENTS, INC.

INVEST FINANCIAL CORPORATION

GLOBAL ATLANTIC DISTRIBUTORS, LLC

THE GREAT-WEST LIFE ASSURANCE COMPANY

AMERICAN FRONTEER FINANCIAL CORPORATION

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2011

Series 63

Date: 7/2/1984

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 24

Date: 11/7/2011

Series 26

Date: 2/22/2001

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

Contact information

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