Joseph E. Darden
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.
Joseph Eugene Darden, who also goes by Joe Eugene Darden, Joe Darden, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1976. Joseph had worked at 22 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2013 - October 1, 2013
BOK FINANCIAL SECURITIES, INC.
May 22, 2012 - November 27, 2012
OPPENHEIMER & CO. INC.
July 9, 2007 - February 14, 2011
ROBERT W. BAIRD & CO. INCORPORATED
December 1, 2005 - June 21, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 15, 1999 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 15, 1998 - November 15, 1999
NBC CAPITAL MARKETS GROUP, INC.
January 2, 1998 - August 3, 1998
IMPERIAL CAPITAL, LLC
October 23, 1997 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
December 4, 1996 - October 14, 1997
TUCKER ANTHONY INCORPORATED
February 17, 1995 - October 31, 1996
WACHOVIA SECURITIES, INC.
November 1, 1993 - February 17, 1995
COASTAL SECURITIES, INC.
April 20, 1992 - October 29, 1993
HILLTOP SECURITIES INC.
September 4, 1990 - April 10, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
October 13, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
January 7, 1988 - October 20, 1988
FSC SECURITIES CORPORATION
October 26, 1987 - November 30, 1987
REFCO SECURITIES, LLC
April 21, 1986 - September 30, 1987
CITIGROUP GLOBAL MARKETS INC.
December 26, 1979 - April 23, 1985
MORGAN KEEGAN & COMPANY, LLC
July 11, 1979 - January 3, 1980
HANCOCK, JOSEPH & DANIELS, INC.
June 22, 1976 - June 30, 1979
STEPHENS
June 18, 1976 - January 2, 1977
BRITTENUM & ASSOCIATES, INC.
Primary Firm SEC Registration
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BOK FINANCIAL SECURITIES, INC.
CRD#: 17530 / SEC#: 801-53600, 8-35381
Contact information
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.
