Benjamin K. Garcia

BOK FINANCIAL SECURITIES

Phoenix, AZ 85054

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CRD#: 4325749

Professional summary

Benjamin Karl Garcia, who also goes by Benjie Karl Garcia, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Phoenix, Arizona.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Benjamin has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjie Karl Garcia

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.

1) Name: Rental property Address: private residential address Albuquerque, NM Inv rel: Y Start: May 2008 Position: Owner Nature of OBA: rental property Hrs/mo: 0 Hrs/mo trade: 0 Description of duties: landlord 2) Name: 3500 Indian School, LLC Address: 3500 Indian School Rd NE, Albuquerque, NM 87106 Inv rel: Y Start: May 2012 Position: Co-owner Nature of OBA: Own commercial property Hrs/mo: 4 Hrs/mo trade: 0 Description of duties: Maintain & upkeep when needed

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Karl Garcia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Karl Garcia'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

June 4, 2018 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 7000 E. Mayo Blvd. Bldg. #22, Phoenix, AZ 85054Office #2: 3001 E. Camelback Rd., Phoenix, AZ 85016Office #3: 901 N. Dobson, Mesa, AZ 85201Office #4: 9545 W. Camelback Rd., Phoenix, AZ 85037Office #5: 6600 4th St. Nw, Albuquerque, NM 87107Office #6: 5915 Wyoming Ne, Albuquerque, NM 87109

RIA

CRD#: 17530

Phoenix, AZ

Current

June 1, 2018 - Present

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

Phoenix, AZ

Past

March 31, 2016 - June 8, 2018

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

ALBUQUERQUE, NM

Past

March 30, 2016 - June 8, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

ALBUQUERQUE, NM

Past

April 9, 2008 - April 28, 2016

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

ALBUQUERQUE, NM

Past

April 8, 2008 - April 28, 2016

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

ALBUQUERQUE, NM

Past

July 3, 2003 - April 15, 2008

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

ALBUQUERQUE, NM

Past

January 16, 2001 - April 15, 2008

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

ALBUQUERQUE, NM

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

Arizona
(6/11/2018)

California
(6/11/2018)

Colorado
(6/11/2018)

Florida
(10/5/2021)

Georgia
(1/2/2025)

Hawaii
(4/5/2023)

Idaho
(6/11/2018)

Illinois
(1/2/2025)

Kansas
(10/5/2021)

Minnesota
(1/10/2024)

Missouri
(6/11/2018)

Nevada
(6/11/2018)

New Mexico
(6/1/2018)

IAR

New Mexico
(6/4/2018)

North Carolina
(6/11/2018)

Ohio
(6/11/2018)

Oklahoma
(6/11/2018)

Oregon
(9/13/2018)

Pennsylvania
(4/15/2019)

South Carolina
(1/7/2020)

Texas
(6/11/2018)

Virginia
(6/9/2022)

Washington
(6/11/2018)

Wyoming
(6/11/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/21/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/2001

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: 4/2/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/12/2001

Investment Company Products/Variable Contracts 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.

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Advisor Monitoring

Firm Stability Insights

Benjamin K. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Karl Garcia's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Karl Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/2001

Series 63

Date: 1/19/2001

Series 52TO

Date: 9/9/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2001

Series 6

Date: 1/12/2001

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.

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