RJ
Robert D. Jones
BOK FINANCIAL SECURITIES
San Diego, CA
Some features on this profile are disabled
CRD#: 2627317
RJ
Professional summary
Robert David Jones, who also goes by Rob Jones, Robert D. Jones, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in San Diego, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Jones | Robert D. Jones
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert David Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert David Jones's 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®
NoneExperience
Current
April 29, 2025 - Present
BOK FINANCIAL SECURITIES, INC.
RIA
BD
CRD#: 17530
San Diego, CA
Current
April 29, 2025 - Present
BOK FINANCIAL SECURITIES, INC.
RIA
BD
CRD#: 17530
San Diego, CA
Past
August 12, 2024 - April 17, 2025
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
August 12, 2024 - April 17, 2025
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
August 17, 2023 - April 2, 2024
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
June 28, 2023 - April 2, 2024
NORTHERN TRUST INVESTMENTS, INCORPORATED
RIA
CRD#: 105780
San Diego, CA
Past
April 13, 2022 - February 6, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
PASADENA, CA
Past
April 13, 2022 - February 6, 2023
SCF SECURITIES, INC.
BD
CRD#: 47275
SAN DIEGO, CA
Past
October 13, 2020 - February 6, 2023
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
HOUSTON, TX
Past
October 13, 2020 - February 6, 2023
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
October 6, 2009 - February 6, 2023
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN DIEGO, CA
Past
May 4, 2006 - February 6, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN DIEGO, CA
Past
February 2, 2004 - February 6, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
January 2, 2003 - February 6, 2004
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
SAN DIEGO, CA
Past
January 17, 2002 - February 6, 2004
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
January 3, 2002 - February 6, 2004
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
January 3, 2002 - February 6, 2004
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
March 23, 2001 - January 23, 2002
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
January 12, 2001 - February 15, 2001
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
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.
BANCALBUQUERQUE INVESTMENT CENTER | OPPENHEIM, DIVISION OF BOSC, INC. | MOBANK | E-SPECTRUM ADVISORS | CSBT INVESTMENT CENTER | COLORADO STATE BANK AND TRUST | BOSC, INC. | BOSC INC. | BOKFS | BOK FINANCIAL SECURITIES, INC. | BOK FINANCIAL SECURITIES | BOK FINANCIAL ADVISORS INVESTMENT CENTER | BOK FINANCIAL ADVISORS | BOK FINANCIAL | BANK OF TEXAS | BANK OF OKLAHOMA | BANK OF ARKANSAS | BANK OF ARIZONA | BANK OF ALBUQUERQUE | BANCTEXAS INVESTMENT CENTER | BANCOKLAHOMA INVESTMENT CENTER | BANCKANSAS CITY INVESTMENT CENTER | BANCARKANSAS INVESTMENT CENTER | BANCARIZONA INVESTMENT CENTER
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)
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
Alabama(4/29/2025)
RR
Alaska(4/29/2025)
RR
Arizona(4/29/2025)
RR
Arkansas(4/29/2025)
RR
California(4/29/2025)
IAR
California(4/29/2025)
RR
Colorado(4/29/2025)
RR
Connecticut(4/29/2025)
RR
Delaware(4/29/2025)
RR
District of Columbia(4/29/2025)
RR
Florida(4/29/2025)
RR
Georgia(4/29/2025)
RR
Hawaii(4/29/2025)
RR
Idaho(4/29/2025)
RR
Illinois(4/29/2025)
RR
Indiana(4/29/2025)
RR
Iowa(4/29/2025)
RR
Kansas(4/29/2025)
RR
Kentucky(4/29/2025)
RR
Louisiana(4/29/2025)
RR
Maine(4/29/2025)
RR
Maryland(4/29/2025)
RR
Massachusetts(4/29/2025)
RR
Michigan(4/29/2025)
RR
Minnesota(4/29/2025)
RR
Mississippi(4/29/2025)
RR
Missouri(4/29/2025)
RR
Montana(4/29/2025)
RR
Nebraska(4/29/2025)
RR
Nevada(4/29/2025)
RR
New Hampshire(4/29/2025)
RR
New Jersey(4/29/2025)
RR
New Mexico(4/29/2025)
RR
New York(4/29/2025)
RR
North Carolina(4/29/2025)
RR
North Dakota(4/29/2025)
RR
Ohio(4/30/2025)
RR
Oklahoma(4/29/2025)
RR
Oregon(4/29/2025)
RR
Pennsylvania(4/29/2025)
RR
Rhode Island(4/29/2025)
RR
South Carolina(4/29/2025)
RR
South Dakota(4/29/2025)
RR
Tennessee(4/29/2025)
RR
Texas(4/29/2025)
RR
Utah(4/29/2025)
RR
Vermont(4/29/2025)
RR
Virginia(4/29/2025)
RR
Washington(4/29/2025)
RR
West Virginia(4/29/2025)
RR
Wisconsin(4/29/2025)
RR
Wyoming(4/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BOK FINANCIAL SECURITIES, INC.
BANCALBUQUERQUE INVESTMENT CENTER | OPPENHEIM, DIVISION OF BOSC, INC. | MOBANK | E-SPECTRUM ADVISORS | CSBT INVESTMENT CENTER | COLORADO STATE BANK AND TRUST | BOSC, INC. | BOSC INC. | BOKFS | BOK FINANCIAL SECURITIES, INC. | BOK FINANCIAL SECURITIES | BOK FINANCIAL ADVISORS INVESTMENT CENTER | BOK FINANCIAL ADVISORS | BOK FINANCIAL | BANK OF TEXAS | BANK OF OKLAHOMA | BANK OF ARKANSAS | BANK OF ARIZONA | BANK OF ALBUQUERQUE | BANCTEXAS INVESTMENT CENTER | BANCOKLAHOMA INVESTMENT CENTER | BANCKANSAS CITY INVESTMENT CENTER | BANCARKANSAS INVESTMENT CENTER | BANCARIZONA INVESTMENT CENTER
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)
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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)
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.
