Rebecca Rose Parrish
Professional Summary
Rebecca Rose Parrish, who also goes by Rebecca Rose Higgins, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Tulsa, Oklahoma. Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Rebecca has worked at 2 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rebecca Rose Higgins
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
One Williams Center Plaza Southeast, Tulsa, OK 74102Mailing Address
P.o. Box 2300, Tulsa, OK 74192Phone Number
(918) 588-6000Established
Oklahoma since 12/23/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
165SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOK FINANCIAL CORPORATION | DIRECT BENEFICIAL OWNER | — |
| DODSON, CATHERINE JOANNE | CFO/FINOP | 6857597 |
| GANDER, CHRISTOPHER ARDEN | SVP, DIRECTOR OF OKLAHOMA PUBLIC FINANCE | 2931550 |
| GARDINER, CELESTE DELANEY | SVP, DIRECTOR, INSTITUTIONAL SALES | 2495180 |
| GRAUER, SCOTT BRADLEY | CEO, CHAIRMAN | 1509326 |
| MAHANEY, MINDY MARGARET | BOKFS BOARD MEMBER | 6403627 |
| MCLAUGHLIN, JOSHUA MICHAEL | SVP, DIRECTOR OF TEXAS PUBLIC FINANCE | 2958620 |
| PARRISH, REBECCA ROSE | SVP, CHIEF COMPLIANCE OFFICER | 6273251 |
| READ, JONATHAN CLIFFORD | SVP, CHIEF OPERATING OFFICER | 8083229 |
| SHAW, JAMES AUGUSTUS | SVP, DIRECTOR OF RETAIL SALES | 1264136 |
| STEELE, JAMES BRADFORD | PRESIDENT | 6317520 |
| SWANSON, JON CRAIG | BOKFS BOARD MEMBER | 5010899 |
| WENTZ, KEITH FRANCIS MICHAEL IV | SVP, DIRECTOR, INSTITUTIONAL TRADING | 8149018 |
Regulatory Assets Under Management
Total Number of Accounts
3,330AUM (Assets Under Management)
$1,058,021,768Disclosures
Regulatory Event
12Arbitration
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(11/1/2021)
(11/1/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2014About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2014About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Rebecca Rose Parrish's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rebecca Rose Parrish's CRS (Customer Relationship Summary).
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