Raymond T. Fontenote
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.
Raymond Troy Fontenote, who also goes by Troy Fontenote, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1993. Raymond had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 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
January 13, 2022 - December 17, 2025
BOK FINANCIAL SECURITIES, INC.
March 22, 2019 - December 17, 2025
BOK FINANCIAL SECURITIES, INC.
February 23, 2018 - December 14, 2021
BOK FINANCIAL ASSET MANAGEMENT, INC.
July 25, 2013 - February 16, 2018
OSAIC FA, INC.
July 25, 2013 - February 16, 2018
OSAIC FA, INC.
April 12, 2005 - July 9, 2013
PRINCIPAL SECURITIES, INC.
April 16, 2004 - July 9, 2013
PRINCIPAL SECURITIES, INC.
March 13, 2003 - April 9, 2004
CAPITAL BROKERAGE CORPORATION
May 30, 2000 - February 10, 2003
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 14, 1996 - April 12, 2000
ADP BROKER-DEALER, INC.
April 25, 1996 - July 24, 1996
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
June 6, 1994 - August 11, 1995
UBS FINANCIAL SERVICES INC.
May 12, 1993 - August 11, 1995
UBS FINANCIAL SERVICES 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
Series 52TO
Date: 9/9/2025
Municipal Securities Representative 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.
