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JD

James S. Deneen

BOK FINANCIAL SECURITIES
Tulsa, OK 74135
Some features on this profile are disabled
CRD#: 4300481
JD

Professional summary

James Scott Deneen, CFP®, who also goes by James S Deneen, James Scott Deneen, Scott Deneen, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Tulsa, Oklahoma.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James S Deneen | James Scott Deneen | Scott Deneen

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Deneen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Scott Deneen'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®
CFP®

Certified Financial Planner

Start date: 2009

Experience

Current

November 21, 2013 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 6036 South Yale, Tulsa, OK 74135
RIA
BD
CRD#: 17530
Tulsa, OK
Current

November 18, 2013 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 6036 South Yale, Tulsa, OK 74135
RIA
BD
CRD#: 17530
Tulsa, OK
Past

January 24, 2013 - September 3, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
TULSA, OK
Past

February 8, 2010 - September 3, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
TULSA, OK
Past

February 14, 2007 - January 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SPRINGFIELD, MO
Past

February 12, 2007 - January 9, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SPRINGFIELD, MO
Past

January 3, 2003 - December 7, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
SPRINGFIELD, MO
Past

August 27, 2002 - December 7, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
SPRINGFIELD, MO
Past

February 15, 2001 - August 16, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

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
Alabama
(1/4/2022)
RR
Arizona
(8/8/2018)
RR
Arkansas
(5/6/2014)
RR
California
(9/9/2015)
RR
Colorado
(8/3/2017)
RR
Florida
(8/8/2018)
RR
Georgia
(1/5/2016)
RR
Hawaii
(8/7/2018)
RR
Illinois
(8/7/2018)
RR
Indiana
(8/8/2018)
RR
Iowa
(8/8/2018)
RR
Kansas
(8/2/2018)
RR
Kentucky
(8/8/2018)
RR
Louisiana
(8/8/2018)
RR
Maryland
(8/13/2018)
RR
Minnesota
(5/31/2023)
RR
Missouri
(5/6/2014)
RR
Nebraska
(9/20/2023)
RR
Nevada
(8/21/2018)
RR
New Hampshire
(2/16/2022)
RR
New Mexico
(7/12/2016)
RR
New York
(9/21/2018)
RR
North Carolina
(8/8/2018)
RR
Ohio
(8/7/2018)
RR
Oklahoma
(11/20/2013)
IAR
Oklahoma
(11/21/2013)
RR
Oregon
(8/7/2018)
RR
South Carolina
(2/22/2019)
RR
South Dakota
(8/9/2018)
RR
Texas
(5/6/2014)
RR
Utah
(3/10/2023)
RR
Virginia
(7/10/2018)
RR
Washington
(1/20/2016)
RR
Wisconsin
(8/7/2018)
RR
Wyoming
(1/6/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/18/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/9/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/23/2003
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
BOK FINANCIAL CORPORATIONDIRECT BENEFICIAL OWNER
DEAN, BRETT ALANPRESIDENT1716141
DODSON, CATHERINE JOANNECFO/FINOP6857597
GALLATIN, THOMAS COYEXECUTIVE DIRECTOR, ENERGY BANKING5971928
GRAUER, SCOTT BRADLEYCEO, CHAIRMAN1509326
MAHANEY, MINDY MARGARETBOKFS BOARD MEMBER6403627
PARRISH, REBECCA ROSECHIEF COMPLIANCE OFFICER6273251
SHAW, JAMES AUGUSTUSSVP, DIRECTOR OF RETAIL SALES1264136
STEELE, JAMES BRADFORDSVP, CHIEF OPERATING OFFICER6317520
SWANSON, JON CRAIGBOKFS BOARD MEMBER5010899

Regulatory assets under management

Total Number of Accounts3,179
AUM (Assets Under Management)$ 835,622,979

Disclosures

Regulatory Event12
Arbitration2

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#: 17530Tulsa, OK 74135

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