Reginaldo Sandoval
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.
Reginaldo Sandoval, who also goes by Reggie Sandoval, was a registered financial professional .
Reginaldo is a previously registered financial professional and started their career in finance in 1989. Reginaldo had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2017 - August 26, 2025
BOK FINANCIAL SECURITIES, INC.
January 4, 2017 - August 26, 2025
BOK FINANCIAL SECURITIES, INC.
April 20, 2016 - November 15, 2016
BOK FINANCIAL PRIVATE WEALTH, INC.
April 16, 2008 - September 13, 2016
WEAVER TIDWELL CAPITAL, LLC
June 1, 2005 - June 23, 2008
WOLF FINANCIAL MANAGEMENT, LLC
December 21, 2001 - November 30, 2016
WEAVER WEALTH MANAGEMENT
February 6, 2001 - June 2, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 17, 1998 - February 14, 2001
UBS FINANCIAL SERVICES INC.
September 26, 1995 - March 21, 1997
UBS FINANCIAL SERVICES INC.
April 27, 1990 - September 5, 1995
FIDELITY BROKERAGE SERVICES LLC
March 16, 1989 - June 28, 1989
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
Contact information
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.
