Richard L. Kratkiewicz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Leo Kratkiewicz, who also goes by Rich Kratkiewicz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2019 - June 3, 2020
BOK FINANCIAL PRIVATE WEALTH, INC.
January 2, 2019 - May 14, 2020
BOK FINANCIAL SECURITIES, INC.
January 2, 2019 - May 14, 2020
BOK FINANCIAL SECURITIES, INC.
June 1, 2009 - October 16, 2017
MORGAN STANLEY
June 1, 2009 - October 16, 2017
MORGAN STANLEY
April 4, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 4, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 22, 1997 - April 10, 2001
RAYMOND JAMES & ASSOCIATES, INC.
November 22, 1994 - January 27, 1997
RAUSCHER PIERCE REFSNES, INC.
May 16, 1990 - December 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 1989 - June 6, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
March 21, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
January 27, 1986 - March 29, 1988
ROTAN MOSLE INC.
September 27, 1984 - February 24, 1986
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
BOK FINANCIAL PRIVATE WEALTH, INC.
CRD#: 106733 / SEC#: 801-51401
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BOK FINANCIAL PRIVATE WEALTH, INC.
CRD#: 106733 / SEC#: 801-51401
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,179 |
| AUM (Assets Under Management) | $ 3,185,223,176 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/18/2024 | ||
| 08/25/2023 | ||
| 09/26/2022 |
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.
