DS
Daniel J. Sprusansky
BOK FINANCIAL SECURITIES
Fort Worth, TX 76102
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CRD#: 6411128
DS
Professional summary
Daniel James Sprusansky, CIMA®, who also goes by Daniel Sprusansky, is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Fort Worth, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Sprusansky
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 James Sprusansky'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®
Experience
Current
August 18, 2022 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: 777 Main St. Ste. 3500, Fort Worth, TX 76102RIA
BD
CRD#: 17530
Fort Worth, TX
Past
February 4, 2020 - November 19, 2021
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Houston, TX
Past
February 4, 2020 - November 19, 2021
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
HOUSTON, TX
Past
March 20, 2019 - July 1, 2019
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
HOUSTON, TX
Past
December 4, 2015 - July 1, 2019
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
HOUSTON, TX
Past
January 14, 2015 - November 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JACKSONVILLE, FL
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.Highlighted states indicate IAR registrations
IAR
Texas(8/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
