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CS

Craig M. Swanson

BOK FINANCIAL SECURITIES
Tulsa, OK 74172
Some features on this profile are disabled
CRD#: 6171768
CS

Professional summary

Craig Martin Swanson, who also goes by Craig Swanson, is a registered financial professional currently at BOK FINANCIAL SECURITIES, INC. located in Tulsa, Oklahoma and CAVANAL HILL DISTRIBUTORS, INC, located in Tulsa, Oklahoma.

Craig is registered as a RR (Registered Representative) and started their career in finance in 2013. Craig has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Craig Swanson

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) - BD

Click below to view Craig Martin Swanson'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®
None

Experience

Current

June 19, 2013 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: One Williams Center, Tulsa, OK 74172
RIA
BD
CRD#: 17530
Tulsa, OK
Current

August 12, 2016 - Present

CAVANAL HILL DISTRIBUTORS, INC,

Office #1: One Williams Center 15th Floor, Tulsa, OK, 74172
BD
CRD#: 175445
Tulsa, OK

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.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/19/2013
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CH
CAVANAL HILL DISTRIBUTORS, INC,
CAVANAL HILL DISTRIBUTORS, INC,

CRD#: 175445 / SEC#: , 8-69595

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
One Williams Center 15th Floor, Tulsa, OK, 74172
Mailing Address
One Williams Center 15th Floor, Tulsa, OK, 74172
Phone number
(918) 588-6000
Established
Oklahoma since 09/25/2014
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BOK FINANCIAL CORPORATIONOWNER
GRAUER, SCOTT BRADLEYDIRECTOR1509326
HENDERSON, JAMES BRIANDIRECTOR2005482
KING, BILLY BOBCEO / PRESIDENT2764098
MAHANEY, MINDY MARGARETDIRECTOR6403627
PETRY, BRYAN NICHOLASDIRECTOR, CORP TAX8048271
QUILL, BRIAN PHILIPCHIEF COMPLIANCE OFFICER1882317
SWANSON, CRAIG MARTINCFO / FINOP6171768

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.

Company Information

CAVANAL HILL DISTRIBUTORS, INC,

CRD#: 175445Tulsa, OK 74172

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