Scott V. Rippa
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.
Scott Vincent Rippa was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 8 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2004 - May 11, 2026
BOK FINANCIAL SECURITIES, INC.
March 26, 2003 - May 27, 2004
NATALLIANCE SECURITIES, LLC
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
June 28, 1995 - April 3, 2003
CITIGROUP GLOBAL MARKETS INC.
May 3, 1994 - July 6, 1995
CIBC WORLD MARKETS CORP.
February 5, 1994 - February 24, 1994
CITIGROUP GLOBAL MARKETS INC.
June 18, 1993 - February 9, 1994
LEHMAN SPECIAL SECURITIES INC.
June 18, 1993 - February 9, 1994
LEHMAN GOVERNMENT SECURITIES INC.
June 18, 1993 - February 9, 1994
LEHMAN BROTHERS 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 11/17/2000
Limited Representative-Equity Trader ExamCurrent 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.
