DP
Daniel M. Pilmaier
BOK FINANCIAL SECURITIES
Omaha, NE
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CRD#: 5150940
DP
Professional summary
Daniel Michael Pilmaier, who also goes by Daniel Michael Pilmaier, Daniel Pilmaier, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Omaha, Nebraska.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Michael Pilmaier | Daniel Pilmaier
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) - RIA
Click below to view Daniel Michael Pilmaier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Michael Pilmaier'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
August 2, 2022 - Present
BOK FINANCIAL SECURITIES, INC.
RIA
BD
CRD#: 17530
Omaha, NE
Current
August 2, 2022 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 499 West Sheridan Avenue 25th 26th And 27th Floors, Oklahoma City, OK, 73102RIA
BD
CRD#: 17530
Oklahoma City, OK
Past
September 9, 2021 - August 8, 2022
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
OMAHA, NE
Past
September 9, 2021 - August 8, 2022
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
OMAHA, NE
Past
February 1, 2021 - August 27, 2021
DOUGH LLC
BD
CRD#: 148243
CHICAGO, IL
Past
September 11, 2018 - January 11, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Omaha, NE
Past
September 7, 2018 - December 31, 2020
TD AMERITRADE, INC.
RIA
CRD#: 7870
OMAHA, NE
Past
February 9, 2007 - December 31, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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(8/2/2022)
RR
Alaska(8/2/2022)
RR
Arizona(8/2/2022)
RR
Arkansas(8/2/2022)
RR
California(8/2/2022)
RR
Colorado(8/2/2022)
RR
Connecticut(8/2/2022)
RR
Delaware(8/2/2022)
RR
District of Columbia(8/2/2022)
RR
Florida(8/2/2022)
RR
Georgia(8/2/2022)
RR
Hawaii(8/2/2022)
RR
Idaho(8/2/2022)
RR
Illinois(8/2/2022)
RR
Indiana(8/2/2022)
RR
Iowa(8/2/2022)
RR
Kansas(8/2/2022)
RR
Kentucky(8/2/2022)
RR
Louisiana(8/2/2022)
RR
Maine(8/2/2022)
RR
Maryland(8/2/2022)
RR
Massachusetts(8/2/2022)
RR
Michigan(8/2/2022)
RR
Minnesota(8/2/2022)
RR
Mississippi(8/2/2022)
RR
Missouri(8/2/2022)
RR
Montana(8/2/2022)
RR
Nebraska(8/2/2022)
IAR
Nebraska(8/9/2022)
RR
Nevada(8/2/2022)
RR
New Hampshire(8/2/2022)
RR
New Jersey(8/2/2022)
RR
New Mexico(8/2/2022)
RR
New York(8/2/2022)
RR
North Carolina(8/2/2022)
RR
North Dakota(8/2/2022)
RR
Ohio(8/2/2022)
RR
Oklahoma(8/2/2022)
RR
Oregon(8/2/2022)
RR
Pennsylvania(8/2/2022)
RR
Rhode Island(8/2/2022)
RR
South Carolina(8/2/2022)
RR
South Dakota(8/2/2022)
RR
Tennessee(8/2/2022)
RR
Texas(8/2/2022)
RR
Utah(8/2/2022)
RR
Vermont(8/2/2022)
RR
Virginia(8/2/2022)
RR
Washington(8/2/2022)
RR
West Virginia(8/2/2022)
RR
Wisconsin(8/2/2022)
RR
Wyoming(8/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/9/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
