JM
John J. Moynihan
BOK FINANCIAL SECURITIES
Plano, TX 75024
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CRD#: 1335237
JM
Professional summary
John Joseph Moynihan Jr, who also goes by John Joseph Jr Moynihan, is a registered financial professional currently at BOK FINANCIAL SECURITIES, INC. located in Plano, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1985. John has worked at 6 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Joseph Jr Moynihan
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.
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Moynihan Jr's 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®
NoneExperience
Current
September 2, 2014 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 5601 Granite Parkway Stes. 400 & 1300, Plano, TX 75024RIA
BD
CRD#: 17530
Plano, TX
Past
April 1, 2014 - August 15, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
LOS ANGELES, CA
Past
November 30, 2006 - April 23, 2014
E.J. DE LA ROSA & CO., INC.
BD
CRD#: 25334
LOS ANGELES, CA
Past
May 31, 2006 - November 3, 2006
ALTA CAPITAL GROUP, LLC
BD
CRD#: 136618
SAN MARINO, CA
Past
July 8, 1997 - June 6, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
LAGUNA WOODS, CA
Past
July 7, 1997 - June 6, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
LAGUNA WOODS, CA
Past
August 2, 1991 - April 29, 1997
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
January 29, 1985 - April 29, 1997
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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.
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
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)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(1/2/2018)
RR
Arkansas(4/9/2025)
RR
California(9/2/2014)
RR
Colorado(4/9/2025)
RR
Connecticut(1/6/2017)
RR
Delaware(6/10/2025)
RR
District of Columbia(4/9/2025)
RR
Florida(12/3/2014)
RR
Georgia(4/9/2025)
RR
Hawaii(10/30/2023)
RR
Illinois(12/3/2014)
RR
Indiana(4/9/2025)
RR
Kansas(4/9/2025)
RR
Louisiana(4/9/2025)
RR
Maryland(3/20/2023)
RR
Massachusetts(12/3/2014)
RR
Michigan(1/2/2018)
RR
Minnesota(12/3/2014)
RR
Missouri(1/6/2017)
RR
Nebraska(4/9/2025)
RR
New Jersey(5/18/2015)
RR
New Mexico(4/9/2025)
RR
New York(12/3/2014)
RR
North Carolina(1/2/2018)
RR
Ohio(4/10/2025)
RR
Oregon(4/9/2025)
RR
Pennsylvania(1/6/2017)
RR
Rhode Island(4/9/2025)
RR
Texas(12/3/2014)
RR
Virginia(4/9/2025)
RR
Washington(12/3/2014)
RR
Wisconsin(1/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BOK FINANCIAL SECURITIES, INC.
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
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)
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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)
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.
Company Information
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530Plano, TX 75024TRUST BUT VERIFY
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