Scott C. Powell

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CRD#: 4366346

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.

Scott Christopher Powell, who also goes by Scott C Powell, Scott C. Powell, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2001. Scott had worked at 8 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott C Powell | Scott C. Powell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 5, 2015 - April 7, 2021

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

Plano, TX

Past

October 27, 2015 - April 7, 2021

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

Plano, TX

Past

November 6, 2014 - January 27, 2015

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

DALLAS, TX

Past

October 30, 2014 - January 27, 2015

BBVA SECURITIES INC.

CRD#: 27060

DALLAS, TX

Past

February 14, 2014 - June 12, 2014

WADDELL & REED

RIA

CRD#: 866

DALLAS, TX

Past

January 31, 2014 - June 12, 2014

WADDELL & REED

CRD#: 866

DALLAS, TX

Past

March 6, 2012 - May 3, 2013

CREWS & ASSOCIATES, INC.

RIA

CRD#: 8052

FAYETTEVILLE, AR

Past

October 29, 2008 - May 3, 2013

CREWS & ASSOCIATES, INC.

CRD#: 8052

FAYETTEVILLE, AR

Past

August 24, 2006 - January 23, 2008

ARVEST WEALTH MANAGEMENT

RIA

CRD#: 42057

ROGERS, AR

Past

August 24, 2006 - January 23, 2008

ARVEST WEALTH MANAGEMENT

CRD#: 42057

ROGERS, AR

Past

July 23, 2004 - November 1, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ROGERS, AR

Past

July 23, 2004 - November 1, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 16, 2002 - August 3, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SPRINDALE, AR

Past

May 17, 2001 - August 3, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 65

Date: 5/12/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/15/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/22/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/17/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/16/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/2024

General Securities Principal Examination

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

Scott C. Powell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

WADDELL & REED

WADDELL & REED

CREWS & ASSOCIATES, INC.

CREWS & ASSOCIATES, INC.

ARVEST WEALTH MANAGEMENT

ARVEST WEALTH MANAGEMENT

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2014

Series 66

Date: 6/15/2001

Series 7TO

Date: 3/22/2024

SIE

Date: 10/1/2018

Series 31

Date: 9/17/2004

Series 7

Date: 5/16/2001

Series 24

Date: 3/22/2024

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

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