SF
Sara A. Fagot
BOK FINANCIAL SECURITIES
Plano, TX 75093
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CRD#: 2719173
SF
Professional summary
Sara Alicia Fagot, who also goes by Sara A Aguirre, Sara A Fagot, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Plano, Texas.
Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Sara has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sara A Aguirre | Sara A Fagot
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 Sara Alicia Fagot's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sara Alicia Fagot'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
July 30, 2025 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 6105 W. Park Blvd., Plano, TX 75093RIA
BD
CRD#: 17530
Plano, TX
Current
June 30, 2025 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 6105 W. Park Blvd., Plano, TX 75093RIA
BD
CRD#: 17530
Plano, TX
Past
January 3, 2011 - September 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DENTON, TX
Past
January 3, 2011 - September 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DENTON, TX
Past
September 3, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SOUTHLAKE, TX
Past
September 3, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SOUTHLAKE, TX
Past
February 6, 2007 - September 3, 2008
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
DENTON, TX
Past
February 6, 2007 - September 3, 2008
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
DENTON, TX
Past
July 11, 2006 - February 6, 2007
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
HIGHLAND VILLAGE, TX
Past
February 15, 2006 - February 6, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
HIGHLAND VILLAGE, TX
Past
March 11, 2004 - February 9, 2006
CAPITAL ONE INVESTMENTS, LLC
BD
CRD#: 17526
NEW ORLEANS, LA
Past
March 17, 2003 - March 1, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
July 23, 1996 - March 5, 2003
CAPITAL ONE INVESTMENTS, LLC
BD
CRD#: 17526
NEW ORLEANS, LA
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
Texas(7/30/2025)
IAR
Texas(7/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
Company Information
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530Plano, TX 75093TRUST BUT VERIFY
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