Ronald Ames Rotthaus | Financial Professional | Fort Worth, Texas | BOK FINANCIAL SECURITIES, INC.

Professional summary

Ronald Ames Rotthaus is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Fort Worth, Texas.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ronald has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Ronald Ames Rotthaus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ronald Ames Rotthaus'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

September 6, 2007 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 3908 Telephone Rd., Fort Worth, TX 76135Office #2: 3200 Heritage Trace Parkway, Fort Worth, TX 76177Office #3: 500 Grapevine Highway, Hurst, TX 76054Office #4: 5909 Camp Bowie Blvd., Fort Worth, TX 76107Office #5: 600 Penn Street, Fort Worth, TX 76102

RIA

BD

CRD#: 17530

Fort Worth, TX

Current

January 18, 2006 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 3908 Telephone Rd., Fort Worth, TX 76135Office #2: 3200 Heritage Trace Parkway, Fort Worth, TX 76177Office #3: 500 Grapevine Highway, Hurst, TX 76054Office #4: 5909 Camp Bowie Blvd., Fort Worth, TX 76107Office #5: 600 Penn Street, Fort Worth, TX 76102

RIA

BD

CRD#: 17530

Fort Worth, TX

Past

April 6, 2000 - January 20, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD

CRD#: 7110

COLUMBUS, OH

Past

September 9, 1996 - October 12, 1998

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD

CRD#: 17086

BIRMINGHAM, AL

Past

April 3, 1990 - November 2, 1993

FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.

BD

CRD#: 23616

Past

January 18, 1989 - March 18, 1996

FINANCIAL HORIZONS SECURITIES CORPORATION

BD

CRD#: 20221

Past

April 10, 1987 - June 23, 1988

KAVANAUGH SECURITIES, INC.

BD

CRD#: 10606

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.

IAR

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

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
(6/1/2022)

RR

Arkansas
(11/22/2024)

RR

California
(3/4/2025)

RR

Colorado
(7/2/2024)

RR

Connecticut
(8/8/2023)

RR

Florida
(2/7/2007)

RR

Illinois
(10/5/2023)

RR

Kentucky
(10/19/2023)

RR

Louisiana
(7/5/2023)

RR

Nevada
(8/14/2024)

RR

New Mexico
(11/2/2010)

RR

New York
(2/2/2025)

RR

North Carolina
(1/4/2024)

RR

Oklahoma
(10/3/2023)

RR

Pennsylvania
(10/2/2023)

RR

South Carolina
(10/5/2023)

RR

Tennessee
(10/3/2023)

RR

Texas
(1/18/2006)

IAR

Texas
(9/6/2007)

RR

Utah
(3/1/2021)

RR

Washington
(4/11/2025)

RR

Wisconsin
(10/9/2023)

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: 6/19/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 4/8/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 1/29/1991

General Securities Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 7/10/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 4/8/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 2/1/1994

General Securities Principal Examination

SRO Registrations

RR

FINRA

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Ronald A. Rotthaus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Ames Rotthaus's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ronald Ames Rotthaus's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

BBVA COMPASS INVESTMENT SOLUTIONS, INC

FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.

FINANCIAL HORIZONS SECURITIES CORPORATION

KAVANAUGH SECURITIES, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2007

Series 63

Date: 4/8/1987

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/29/1991

Series 22

Date: 7/10/1987

Series 6

Date: 4/8/1987

Series 24

Date: 2/1/1994

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.

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