DD
Dee Anna N. Dreiling
BOK FINANCIAL SECURITIES
Overland Park, KS 66210-4035
Some features on this profile are disabled
CRD#: 4528552
DD
Professional summary
Dee Anna Nichol Morris Dreiling, who also goes by Dee Anna Morris, Dee Anna Nichol Morris, Dee Anna Nichol Morris, Niki Morris, Dee Anna Nichol Plunkett, Niki Plunkett, is a registered financial professional currently at BOK FINANCIAL SECURITIES, INC. located in Overland Park, Kansas.
Dee Anna is registered as a RR (Registered Representative) and started their career in finance in 2004. Dee Anna has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dee Anna Morris | Dee Anna Nichol Morris | Dee Anna Nichol Morris | Niki Morris | Dee Anna Nichol Plunkett | Niki Plunkett
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.
CRS (Client Relationship Summary) - BD
Click below to view Dee Anna Nichol Morris Dreiling's 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®
NoneExperience
Current
May 16, 2007 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 7101 College Blvd Suite 1100, Overland Park, KS 66210-4035RIA
BD
CRD#: 17530
Overland Park, KS
Past
May 23, 2005 - June 4, 2007
GEORGE K. BAUM & COMPANY
BD
CRD#: 36354
KANSAS CITY, MO
Past
April 14, 2004 - May 26, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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.
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(6/16/2023)
RR
Arizona(6/16/2023)
RR
California(6/16/2023)
RR
Delaware(1/3/2025)
RR
Florida(6/16/2023)
RR
Georgia(1/3/2025)
RR
Illinois(1/3/2025)
RR
Indiana(3/29/2022)
RR
Iowa(7/11/2022)
RR
Kansas(5/16/2007)
RR
Louisiana(7/13/2023)
RR
Maryland(1/3/2025)
RR
Michigan(1/26/2018)
RR
Minnesota(6/16/2023)
RR
Missouri(5/16/2007)
RR
Montana(1/3/2025)
RR
Nebraska(1/3/2025)
RR
Nevada(1/3/2025)
RR
New Jersey(6/16/2023)
RR
New Mexico(1/3/2025)
RR
New York(6/16/2023)
RR
North Carolina(6/16/2023)
RR
Ohio(6/16/2023)
RR
Oklahoma(6/16/2023)
RR
Pennsylvania(1/3/2025)
RR
Tennessee(6/16/2023)
RR
Texas(6/16/2023)
RR
Utah(1/3/2025)
RR
Virginia(1/3/2025)
RR
Wisconsin(1/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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.
