Rick D. Callihan

Some features on this profile are disabled

CRD#: 5841738

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.

Rick Dean Callihan, who also goes by Rick Callihan, was a registered financial professional .

Rick is a previously registered financial professional and started their career in finance in 2010. Rick had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Callihan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 4, 2019 - July 29, 2022

BOK FINANCIAL PRIVATE WEALTH, INC.

RIA

CRD#: 106733

DENVER, CO

Past

December 14, 2015 - August 1, 2022

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

Fort Worth, TX

Past

July 29, 2014 - August 1, 2022

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

Fort Worth, TX

Past

March 4, 2013 - July 15, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SOUTHLAKE, TX

Past

March 4, 2013 - July 15, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SOUTHLAKE, TX

Past

October 6, 2010 - March 6, 2013

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

DALLAS, TX

Past

September 22, 2010 - March 6, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

DALLAS, TX

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 PRIVATE WEALTH, INC.

CRD#: 106733 / SEC#: 801-51401

RIA

Registered Investment Advisory firm - (3/6/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/5/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2010

General Securities Representative Examination

Current Firm

BOK FINANCIAL PRIVATE WEALTH, INC.

CRD#: 106733 / SEC#: 801-51401

RIA

Registered Investment Advisory firm - (3/6/1996 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1600 Broadway 4th Floor, Denver, CO 80202

Mailing Address

Phone number

(303) 539-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOK FINANCIAL PRIVATE WEALTH, INC., FORM ADV PART 2A JUNE 2025 (6/17/2025)

Regulatory assets under management

Total Number of Accounts	2,179
AUM (Assets Under Management)	$ 3,185,223,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
12/18/2024	Cover Page	Report
08/25/2023	Cover Page	Report
09/26/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rick D. Callihan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

BOK FINANCIAL PRIVATE WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2010

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2010

Current Firm

BOK FINANCIAL PRIVATE WEALTH, INC.

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BOK FINANCIAL PRIVATE WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors