Richard P. Lauer
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 Paul Lauer JR, who also goes by Rich Lauer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2014 - November 14, 2014
BOK FINANCIAL SECURITIES, INC.
August 11, 2008 - January 30, 2014
AMEGY INVESTMENTS, INC.
July 17, 2008 - August 6, 2008
USF SECURITIES, L.P.
May 13, 2003 - July 19, 2004
INVESCO CAPITAL MARKETS, INC.
June 25, 1999 - December 3, 2001
ECT SECURITIES LIMITED PARTNERSHIP
May 22, 1998 - June 11, 1999
BANK UNITED SECURITIES CORP.
January 9, 1998 - May 29, 1998
WELLS FARGO SECURITIES INC.
November 11, 1997 - May 14, 1998
FISERV INVESTOR SERVICES, INC.
November 11, 1997 - May 20, 1998
TRADESTAR INVESTMENTS,INC.
September 16, 1993 - October 27, 1997
ADVANTAGE CAPITAL CORPORATION
August 4, 1993 - September 20, 1993
AMERICAN CAPITAL MARKETING, INC.
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
Current 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.
