DF
Donald L. Fitzsimmons
BOK FINANCIAL SECURITIES
Highland Ranch, CO
Some features on this profile are disabled
CRD#: 4815838
DF
Professional summary
Donald Lee Fitzsimmons, who also goes by Don Lee Fitzsimmons, Donald Lee Fitzsimmons, Don Fitzsimmons, Donald Fitzsimmons, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Highland Ranch, Colorado.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Donald has worked at 13 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 6, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Don Lee Fitzsimmons | Donald Lee Fitzsimmons | Don Fitzsimmons | Donald Fitzsimmons
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.
01/10/23 - SILVER MESA SOCIAL COMMITTEE - HOA CLUB - SOCIAL COMMITTEE MEMBER
CRS (Client Relationship Summary) - RIA
Click below to view Donald Lee Fitzsimmons's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donald Lee Fitzsimmons'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
December 6, 2024 - Present
BOK FINANCIAL SECURITIES, INC.
RIA
BD
CRD#: 17530
Highland Ranch, CO
Current
May 14, 2024 - Present
BOK FINANCIAL SECURITIES, INC.
RIA
BD
CRD#: 17530
Highland Ranch, CO
Past
August 28, 2023 - May 16, 2024
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
August 28, 2023 - May 16, 2024
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
October 20, 2021 - July 10, 2023
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
CENTENNIAL, CO
Past
October 20, 2021 - July 10, 2023
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
CENTENNIAL, CO
Past
May 6, 2020 - October 28, 2021
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GREENWOOD VILLAGE, CO
Past
April 16, 2020 - October 28, 2021
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GREENWOOD VILLAGE, CO
Past
December 13, 2018 - January 3, 2019
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
DENVER, CO
Past
December 13, 2018 - January 3, 2019
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
DENVER, CO
Past
March 21, 2018 - May 14, 2018
SORRENTO PACIFIC FINANCIAL, LLC
RIA
CRD#: 127787
Highland Ranch, CO
Past
March 21, 2018 - May 14, 2018
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Highlands Ranch, CO
Past
March 21, 2018 - May 14, 2018
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN DIEGO, CA
Past
March 21, 2018 - May 14, 2018
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Highlands Ranch, CO
Past
October 13, 2014 - March 1, 2018
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
CENTENNIAL, CO
Past
October 13, 2014 - March 1, 2018
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
CENTENNIAL, CO
Past
October 1, 2014 - October 21, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
HIGHLANDS RANCH, CO
Past
October 1, 2014 - October 21, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
HIGHLANDS RANCH, CO
Past
June 9, 2010 - September 29, 2014
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
CENTENNIAL, CO
Past
June 8, 2010 - September 29, 2014
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
CENTENNIAL, CO
Past
May 3, 2007 - January 13, 2009
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DENVER, CO
Past
April 25, 2007 - December 11, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DENVER, CO
Past
February 8, 2007 - March 30, 2007
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
April 20, 2006 - March 30, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
November 8, 2004 - April 21, 2006
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
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(5/14/2024)
RR
Alaska(5/14/2024)
RR
Arizona(5/14/2024)
RR
Arkansas(5/14/2024)
RR
California(5/14/2024)
RR
Colorado(5/14/2024)
IAR
Colorado(12/6/2024)
RR
Connecticut(5/14/2024)
RR
Delaware(5/14/2024)
RR
District of Columbia(5/14/2024)
RR
Florida(5/14/2024)
RR
Georgia(5/14/2024)
RR
Hawaii(5/14/2024)
RR
Idaho(5/14/2024)
RR
Illinois(5/14/2024)
RR
Indiana(5/14/2024)
RR
Iowa(5/14/2024)
RR
Kansas(5/14/2024)
RR
Kentucky(5/14/2024)
RR
Louisiana(5/14/2024)
RR
Maine(5/14/2024)
RR
Maryland(5/14/2024)
RR
Massachusetts(5/14/2024)
RR
Michigan(5/14/2024)
RR
Minnesota(5/14/2024)
RR
Mississippi(5/14/2024)
RR
Missouri(5/14/2024)
RR
Montana(5/14/2024)
RR
Nebraska(5/14/2024)
RR
Nevada(5/14/2024)
RR
New Hampshire(5/14/2024)
RR
New Jersey(5/14/2024)
RR
New Mexico(5/14/2024)
RR
New York(5/14/2024)
RR
North Carolina(5/14/2024)
RR
North Dakota(5/14/2024)
RR
Ohio(5/14/2024)
RR
Oklahoma(5/14/2024)
RR
Oregon(5/14/2024)
RR
Pennsylvania(5/14/2024)
RR
Rhode Island(5/14/2024)
RR
South Carolina(5/14/2024)
RR
South Dakota(5/14/2024)
RR
Tennessee(5/14/2024)
RR
Texas(5/14/2024)
RR
Utah(5/14/2024)
RR
Vermont(5/14/2024)
RR
Virginia(5/14/2024)
RR
Washington(5/14/2024)
RR
West Virginia(5/14/2024)
RR
Wisconsin(5/14/2024)
RR
Wyoming(5/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
