Alexander R. Nuno
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alexander Robert Nuno was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1998. Alexander had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2022 - November 20, 2025
BOK FINANCIAL SECURITIES, INC.
October 19, 2022 - November 20, 2025
BOK FINANCIAL SECURITIES, INC.
October 6, 2015 - October 11, 2022
COMERICA SECURITIES
October 6, 2015 - October 11, 2022
COMERICA SECURITIES
January 5, 2012 - August 18, 2015
AMEGY INVESTMENTS, INC.
January 5, 2012 - August 18, 2015
AMEGY INVESTMENTS, INC.
November 7, 2011 - December 20, 2011
CITIGROUP GLOBAL MARKETS INC.
November 7, 2011 - December 20, 2011
CITIGROUP GLOBAL MARKETS INC.
January 3, 2011 - September 9, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - September 9, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 26, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 26, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 26, 2004 - June 20, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 10, 2003 - June 20, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 5, 2001 - October 10, 2003
J.P. MORGAN SECURITIES INC.
May 15, 2001 - July 31, 2002
J.P. MORGAN SECURITIES OF TEXAS, INC.
June 22, 2000 - May 4, 2001
INVESCO DISTRIBUTORS, INC.
November 2, 1999 - June 20, 2000
UBS FINANCIAL SERVICES INC.
May 8, 1998 - November 2, 1999
J.P. MORGAN SECURITIES OF TEXAS, INC.
Primary Firm SEC Registration
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 9/9/2025
Municipal Securities Representative ExaminationCurrent Firm
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
Contact information
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.
