John W. Godwin

BOK FINANCIAL SECURITIES

Tulsa, OK 74135

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CRD#: 2753642

Professional summary

John William Godwin is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Tulsa, Oklahoma.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

NAME: Dooley Collaborative, LLC ADDRESS: Tulsa, OK 74135 INVESTMENT RELATED (Y/N): Y START DATE: 08/2018 POSITION HELD: Owner NATURE OF OUTSIDE BUSINESS: Personal/family LLC HRS/MO: 4 HRS/MO DURING SECURITIES TRADING: 0 BRIEF DESCRIPTION OF DUTIES: I am the sole owner and member of this LLC. It will currently hold rental property, as well as a passive equity stake in a local business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John William Godwin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John William Godwin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 4, 2012 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 6036 South Yale, Tulsa, OK 74135

RIA

CRD#: 17530

Tulsa, OK

Current

October 4, 2012 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 6036 South Yale, Tulsa, OK 74135

RIA

CRD#: 17530

Tulsa, OK

Past

October 1, 2012 - October 12, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

TULSA, OK

Past

October 1, 2012 - October 12, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

TULSA, OK

Past

July 6, 2005 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

TULSA, OK

Past

July 6, 2005 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

TULSA, OK

Past

November 25, 2002 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

TULSA, OK

Past

May 16, 2001 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 6, 1996 - April 23, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

BOK FINANCIAL SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alaska
(9/26/2019)

Arizona
(10/1/2019)

Arkansas
(5/26/2016)

California
(10/1/2019)

Colorado
(9/11/2018)

Florida
(10/29/2012)

Georgia
(5/23/2013)

Idaho
(3/10/2023)

Indiana
(10/1/2019)

Iowa
(10/1/2019)

Kansas
(10/1/2019)

Maryland
(8/25/2025)

Missouri
(5/10/2013)

Montana
(10/1/2019)

Nebraska
(10/1/2019)

New Mexico
(12/10/2018)

North Carolina
(10/1/2019)

Oklahoma
(10/4/2012)

IAR

Oklahoma
(10/4/2012)

Pennsylvania
(5/21/2024)

Rhode Island
(10/1/2019)

South Carolina
(10/1/2019)

South Dakota
(10/1/2019)

Tennessee
(8/7/2023)

Texas
(10/12/2012)

Utah
(8/7/2023)

Virginia
(8/18/2023)

Washington
(3/10/2023)

Wyoming
(7/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/9/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BOK FINANCIAL SECURITIES, INC.

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BOKFA WRAP FEE PROGRAM BROCHURE (6/16/2025)

BOKFA INVESTON WRAP FEE PROGRAM BROCHURE (6/16/2025)

BOKFA PART 2A FIRM BROCHURE (6/16/2025)

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.

Contact information

xxxxx@xxxx.xxx

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John W. Godwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John William Godwin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John William Godwin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

TD AMERITRADE, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2002

Series 63

Date: 8/9/1996

Series 52TO

Date: 9/9/2025

SIE

Date: 10/1/2018

Series 7

Date: 8/5/1996

FINRA

Current Firm

BOK FINANCIAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BOK FINANCIAL SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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