Peter Mark Froggatt | Financial Professional | Sugar Land, Texas | BOK FINANCIAL SECURITIES, INC.

Professional summary

Peter Mark Froggatt is a registered financial advisor currently at BOK FINANCIAL SECURITIES, INC. located in Sugar Land, Texas.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Peter has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

"Right Decision Regulatory Consulting LLC Spring, TX Start date: 1/1/2017 Vice President - Manager Hours per week: 0 Hours during trading: 0 assisting with administrative and marketing tasks and materials - unpaid position"

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Mark Froggatt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Peter Mark Froggatt's CRS (Customer Relationship Summary).

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

August 14, 2023 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 15245 S. W. Freeway, Sugar Land, TX 77478Office #2: 24 Waterway Ave. Ste. 150, The Woodlands, TX 77380Office #3: 5500 Kirby Dr., Houston, TX 77005Office #4: 4555 Sweetwater Blvd., Sugar Land, TX 77479Office #5: 5320 Bellaire Blvd., Bellaire, TX 77401Office #6: 500 Chimney Rock, Houston, TX 77056Office #7: 13230 W. Little York, Houston, TX 77041Office #8: 12255 Westheimer, Houston, TX 77077Office #9: 12764 Memorial Dr., Houston, TX 77024Office #10: 555 Grand Parkway, Katy, TX 77450Office #11: 14098 Northwest Freeway, Houston, TX 77040Office #12: 15725 Cypress Woods Medical Dr., Houston, TX 77014

RIA

BD

CRD#: 17530

SUGAR LAND, TX

Current

August 14, 2023 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 15245 S. W. Freeway, Sugar Land, TX 77478Office #2: 24 Waterway Ave. Ste. 150, The Woodlands, TX 77380Office #3: 5500 Kirby Dr., Houston, TX 77005Office #4: 4555 Sweetwater Blvd., Sugar Land, TX 77479Office #5: 5320 Bellaire Blvd., Bellaire, TX 77401Office #6: 500 Chimney Rock, Houston, TX 77056Office #7: 13230 W. Little York, Houston, TX 77041Office #8: 12255 Westheimer, Houston, TX 77077Office #9: 12764 Memorial Dr., Houston, TX 77024Office #10: 555 Grand Parkway, Katy, TX 77450Office #11: 14098 Northwest Freeway, Houston, TX 77040Office #12: 15725 Cypress Woods Medical Dr., Houston, TX 77014

RIA

BD

CRD#: 17530

SUGAR LAND, TX

Past

February 20, 2019 - August 24, 2023

EDWARD JONES

RIA

CRD#: 250

HOUSTON, TX

Past

January 28, 2019 - August 24, 2023

EDWARD JONES

BD

CRD#: 250

HOUSTON, 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".

BF

BOK FINANCIAL SECURITIES, INC.

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(9/26/2024)

RR

Connecticut
(10/16/2023)

RR

Florida
(10/16/2023)

RR

Georgia
(10/16/2023)

RR

Hawaii
(5/5/2025)

RR

Louisiana
(10/16/2023)

RR

Mississippi
(8/15/2024)

RR

Missouri
(1/17/2024)

RR

Montana
(8/14/2023)

RR

Nevada
(10/16/2023)

RR

New Mexico
(10/16/2023)

RR

New York
(10/16/2023)

RR

North Carolina
(10/16/2023)

RR

Oregon
(9/26/2024)

RR

Texas
(8/14/2023)

IAR

Texas
(8/14/2023)

RR

Virginia
(10/16/2023)

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

State Security Law Exam

RR

IAR

Series 66

Date: 2/19/2019

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 1/28/2019

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 1/3/2019

Securities Industry Essentials Examination

SRO Registrations

RR

FINRA

Current Firm

BF

BOK FINANCIAL SECURITIES, INC.

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BOKFA WRAP FEE PROGRAM BROCHURE (6/16/2025)

BOKFA INVESTON WRAP FEE PROGRAM BROCHURE (6/16/2025)

BOKFA PART 2A FIRM BROCHURE (6/16/2025)

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.

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Firm Stability Insights

Peter M. Froggatt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Mark Froggatt's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Peter Mark Froggatt's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/19/2019

Series 7TO

Date: 1/28/2019

SIE

Date: 1/3/2019

FINRA

Current Firm

BOK FINANCIAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BOK FINANCIAL SECURITIES, INC.

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