Patrick David Smith
Professional Summary
Patrick David Smith is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Overland Park, Kansas. Patrick is registered as a RR (Registered Representative) and started their career in finance in 1997. Patrick has worked at 3 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
Disclosures on record.
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.
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
Current Firm
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
Contact Information
Main Address
One Williams Center Plaza Southeast, Tulsa, OK 74102Mailing Address
P.o. Box 2300, Tulsa, OK 74192Phone Number
(918) 588-6000Established
Oklahoma since 12/23/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
165SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOK FINANCIAL CORPORATION | DIRECT BENEFICIAL OWNER | — |
| DODSON, CATHERINE JOANNE | CFO/FINOP | 6857597 |
| GANDER, CHRISTOPHER ARDEN | SVP, DIRECTOR OF OKLAHOMA PUBLIC FINANCE | 2931550 |
| GARDINER, CELESTE DELANEY | SVP, DIRECTOR, INSTITUTIONAL SALES | 2495180 |
| GRAUER, SCOTT BRADLEY | CEO, CHAIRMAN | 1509326 |
| MAHANEY, MINDY MARGARET | BOKFS BOARD MEMBER | 6403627 |
| MCLAUGHLIN, JOSHUA MICHAEL | SVP, DIRECTOR OF TEXAS PUBLIC FINANCE | 2958620 |
| PARRISH, REBECCA ROSE | SVP, CHIEF COMPLIANCE OFFICER | 6273251 |
| READ, JONATHAN CLIFFORD | SVP, CHIEF OPERATING OFFICER | 8083229 |
| SHAW, JAMES AUGUSTUS | SVP, DIRECTOR OF RETAIL SALES | 1264136 |
| STEELE, JAMES BRADFORD | PRESIDENT | 6317520 |
| SWANSON, JON CRAIG | BOKFS BOARD MEMBER | 5010899 |
| WENTZ, KEITH FRANCIS MICHAEL IV | SVP, DIRECTOR, INSTITUTIONAL TRADING | 8149018 |
Regulatory Assets Under Management
Total Number of Accounts
3,330AUM (Assets Under Management)
$1,058,021,768Disclosures
Regulatory Event
12Arbitration
2Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
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
State Registrations and Notice Filings
(3/14/2011)
(2/3/2010)
(1/3/2018)
(4/15/2025)
(3/30/2020)
(1/3/2018)
(1/5/2018)
(2/3/2010)
(2/3/2010)
(1/4/2018)
(1/11/2018)
(4/24/2025)
(2/3/2010)
(2/3/2010)
(12/2/2011)
(1/3/2018)
(3/14/2011)
(1/3/2018)
(1/2/2018)
(1/11/2018)
(1/3/2018)
(1/8/2018)
(6/27/2018)
(1/8/2018)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Patrick David Smith's CRS (Customer Relationship Summary).
Similar Advisors
CENTAURUS FINANCIAL, INC.
J.P. MORGAN SECURITIES LLC
FALCON WEALTH PLANNING, LLC
WELLS FARGO CLEARING SERVICES, LLC