Scott R. Swiggett

BOK FINANCIAL SECURITIES

Oklahoma City, OK 73102

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CRD#: 4638175

Professional summary

Scott Ryan Swiggett is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Oklahoma City, Oklahoma.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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: SWIGGETT SUITES, LLC ADDRESS: ENID, OK 73703 INVESTMENT RELATED (Y/N): N START DATE: 02/2017 POSITION HELD: OWNER NATURE OF OUTSIDE BUSINESS: RENTAL PROPERTY HRS/MO: 1 HRS/MO DURING SECURITIES TRADING: 0 BRIEF DESCRIPTION OF DUTIES: THIS IS A PROPERTY I INHERITED AND AM 50% WITH MY SISTER. WE PLAN TO RENT THE PROPERTY. 2) Name: Pivotal Real Estate Solutions, Inc. Location: private residential Edmond, OK 73012 Investment related (y/n): Y Start date: 08/2023 Position held: member Nature of outside business: Real Estate Hrs/mo: 4 Hrs/mo during securities trading: 0 Brief description of duties: sell and/or rent property out 3) Name: Ambassador Holdings Group, LLC Location: 3000 W. Memorial Rd., Stes 123; 108, Oklahoma City, OK 73120 Investment related (y/n): N Start date: 08/2023 Position held: member Nature of outside business: rental property Hrs/mo: 1 Hrs/mo during securities trading: 0 Brief description of duties: rent property out

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Ryan Swiggett's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Scott Ryan Swiggett'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

March 6, 2009 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 499 West Sheridan Avenue 25th 26th And 27th Floors, Oklahoma City, OK, 73102

RIA

CRD#: 17530

Oklahoma City, OK

Current

March 2, 2009 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 499 West Sheridan Avenue 25th 26th And 27th Floors, Oklahoma City, OK, 73102

RIA

CRD#: 17530

Oklahoma City, OK

Past

May 30, 2007 - March 2, 2009

EDWARD JONES

RIA

CRD#: 250

MUSTANG, OK

Past

March 7, 2005 - March 2, 2009

EDWARD JONES

CRD#: 250

MUSTANG, OK

Past

July 10, 2003 - September 22, 2003

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

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
(5/10/2023)

Arkansas
(3/17/2011)

California
(3/2/2009)

Colorado
(11/9/2009)

Florida
(2/2/2010)

Georgia
(10/1/2013)

Hawaii
(5/9/2014)

Illinois
(3/11/2009)

Kansas
(3/11/2009)

Louisiana
(3/18/2009)

Massachusetts
(2/15/2023)

Michigan
(9/10/2014)

Minnesota
(4/20/2009)

Missouri
(11/16/2009)

Montana
(2/3/2010)

Nebraska
(4/20/2012)

New Mexico
(1/18/2011)

New York
(7/24/2019)

North Carolina
(12/11/2014)

North Dakota
(4/1/2009)

Oklahoma
(3/2/2009)

IAR

Oklahoma
(3/18/2009)

Oregon
(1/11/2010)

Pennsylvania
(12/22/2010)

South Carolina
(5/14/2012)

Texas
(3/2/2009)

Utah
(8/20/2009)

Washington
(3/3/2010)

West Virginia
(8/18/2015)

Wisconsin
(3/4/2010)

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 66

Date: 5/23/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/17/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/2003

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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Scott R. Swiggett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Ryan Swiggett's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Ryan Swiggett's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

EDWARD JONES

EDWARD JONES

HORACE MANN INVESTORS, INC.

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2007

Series 63

Date: 7/17/2003

SIE

Date: 10/1/2018

Series 7

Date: 5/2/2005

Series 6

Date: 7/8/2003

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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