Jose Arturo Morales JR | Financial Professional

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.

Jose Arturo Morales JR, who also goes by Arturo Jose Morales, J Art Morales, Jose Arturo Morales, was a registered financial professional .

Jose is a previously registered financial professional and started their career in finance in 1985. Jose had worked at 6 firms and has passed the Series 63, SIE, Series 52, Series 22, Series 53 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Arturo Jose Morales | J Art Morales | Jose Arturo Morales

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 26, 2013 - July 11, 2016

BOK FINANCIAL SECURITIES, INC.

BD

CRD#: 17530

HOUSTON, TX

Past

November 8, 2010 - June 19, 2013

SIEBERT WILLIAMS SHANK & CO., LLC

BD

CRD#: 42568

HOUSTON, TX

Past

May 24, 2005 - November 8, 2010

SAMUEL A. RAMIREZ & COMPANY, INC.

BD

CRD#: 6963

HOUSTON, TX

Past

May 1, 2002 - April 6, 2005

BANC OF AMERICA SECURITIES LLC

BD

CRD#: 26091

NEW YORK, NY

Past

August 4, 2000 - March 26, 2002

MORGAN STANLEY & CO. LLC

BD

CRD#: 8209

NEW YORK, NY

Past

May 1, 1997 - July 31, 2000

SAMUEL A. RAMIREZ & COMPANY, INC.

BD

CRD#: 6963

NEW YORK, NY

Past

September 1, 1987 - November 18, 1987

JAMCOR, INC.

BD

CRD#: 16129

Past

April 3, 1985 - July 16, 1987

JAMCOR, INC.

BD

CRD#: 16129

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".

BF

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)

BD

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

Series 63

Date: 4/18/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 7/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 52

Date: 5/5/1995

Municipal Securities Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 8/30/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

RR

Series 53

Date: 5/10/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

RR

Series 39

Date: 9/4/1984

Direct Participation Programs Principal Examination

Current Firm

BF

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)

BD

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).

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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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Advisor Monitoring

Firm Stability Insights

Jose A. Morales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIEBERT WILLIAMS SHANK & CO., LLC

SAMUEL A. RAMIREZ & COMPANY, INC.

BANC OF AMERICA SECURITIES LLC

MORGAN STANLEY & CO. LLC

SAMUEL A. RAMIREZ & COMPANY, INC.

JAMCOR, INC.

JAMCOR, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/1996

SIE

Date: 7/11/2016

Series 52

Date: 5/5/1995

Series 22

Date: 8/30/1984

Series 53

Date: 5/10/2011

Series 39

Date: 9/4/1984

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.

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