Hal J. Brown

BOK FINANCIAL SECURITIES

Oklahoma City, OK 73102

Some features on this profile are disabled

CRD#: 2861849

Professional summary

Hal Jerome Brown, who also goes by Hal J Brown, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Oklahoma City, Oklahoma.

Hal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Hal has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 7TO, Series 52TO, SIE, Series 7, Series 52, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hal J Brown

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: AQUINAS PARTNERS, LLC ADDRESS: Oklahoma City, OK INVESTMENT RELATED (Y/N): Y START DATE: CONFIRM Approximately June 1, 2004 POSITION HELD: 50% PARTNER NATURE OF OUTSIDE BUSINESS: PARTNERSHIP HRS/MO: 0 HRS/MO DURING SECURITIES TRADING: 0 BRIEF DESCRIPTION OF DUTIES: FORMED FOR THE SOLE PURPOSE OF MAKING A REAL ESTATE INVESTMENT IN DOUGLAS RANCH, LLC A MASTER PLANNED COMMUNITY IN BUCKEYE, AZ NAME: Downtown Oklahoma City Partnership (DOKC) ADDRESS: 211 N. Robinson, Suite 225, Oklahoma City, OK, 73102 INVESTMENT RELATED (Y/N): N START DATE: 11/9/2023 POSITION HELD: Board Member NATURE OF OUTSIDE BUSINESS: Non-Profit Organization created to manage and market the Business Improvement District in Downtown OKC. HRS/MO: 3 HRS/MO DURING SECURITIES TRADING: 0 BRIEF DESCRIPTION OF DUTIES: Board members serve as advocates, coordinators, facilitators, and communicators for downtown revitalization. DOKC's mission is to create and champion a vibrant and diverse downtown through placemaking, advocacy, and promotion. It is a non-compensation position.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hal Jerome Brown's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Hal Jerome Brown'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 11, 2016 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 499 West Sheridan Avenue 25th 26th And 27th Floors, Oklahoma City, OK, 73102

RIA

CRD#: 17530

Oklahoma City, OK

Current

July 3, 2002 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 499 West Sheridan Avenue 25th 26th And 27th Floors, Oklahoma City, OK, 73102

RIA

CRD#: 17530

Oklahoma City, OK

Past

April 1, 1999 - July 17, 2002

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

October 1, 1997 - April 1, 1999

BANC ONE CAPITAL MARKETS, INC.

CRD#: 27267

COLUMBUS, OH

Past

February 26, 1997 - October 23, 1997

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

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

Alabama
(3/31/2025)

Alaska
(3/9/2021)

Arizona
(7/3/2002)

Arkansas
(1/5/2016)

California
(1/5/2016)

Colorado
(1/5/2016)

Connecticut
(3/9/2021)

Delaware
(1/5/2016)

District of Columbia
(3/9/2021)

Florida
(7/9/2015)

Georgia
(3/31/2025)

Hawaii
(3/31/2025)

Idaho
(3/31/2025)

Illinois
(1/5/2016)

Indiana
(1/5/2016)

Iowa
(3/9/2021)

Kansas
(1/2/2015)

Kentucky
(1/5/2016)

Louisiana
(4/18/2016)

Maine
(3/9/2021)

Maryland
(1/5/2016)

Massachusetts
(1/5/2016)

Michigan
(3/9/2021)

Minnesota
(1/5/2016)

Mississippi
(3/31/2025)

Missouri
(1/5/2016)

Montana
(1/5/2016)

Nebraska
(1/5/2016)

Nevada
(3/9/2021)

New Hampshire
(1/5/2016)

New Jersey
(1/5/2016)

New Mexico
(7/3/2002)

New York
(1/5/2016)

North Carolina
(1/6/2016)

North Dakota
(3/9/2021)

Ohio
(3/9/2021)

Oklahoma
(7/3/2002)

IAR

Oklahoma
(10/11/2016)

Oregon
(3/31/2025)

Pennsylvania
(1/5/2016)

Rhode Island
(3/31/2025)

South Carolina
(3/31/2025)

South Dakota
(1/5/2016)

Tennessee
(3/9/2021)

Texas
(7/3/2002)

Utah
(3/9/2021)

Vermont
(3/31/2025)

Virginia
(3/31/2025)

Washington
(3/9/2021)

West Virginia
(3/31/2025)

Wisconsin
(3/9/2021)

Wyoming
(3/9/2021)

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: 10/11/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 11/12/1986

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/25/1989

Municipal Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Similar Advisors

Garth Harbert

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

Jack Santini

J.P. MORGAN SECURITIES LLC

IAR

New York, NY

Robert Shannon

BRAZOS WEALTH ADVISORS LLC

IAR

FORT WORTH, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Hal J. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hal Jerome Brown's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Hal Jerome Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

BANC ONE CAPITAL MARKETS, INC.

BANC ONE CAPITAL MARKETS, INC.

FISERV INVESTOR SERVICES, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2016

Series 63

Date: 5/2/1997

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Series 52

Date: 11/12/1986

Series 24

Date: 9/20/2000

Series 53

Date: 8/25/1989

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

Similar Advisors