Deborah Dian Snell

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Contact Information

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Disclosures on record.

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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Years of Experience

6 years registered in the securities industry

Current & Past Employments

Current

BOK FINANCIAL SECURITIES, INC.Current·CRD# 17530

RIA

BD

6505 E 101st Street, Tulsa, OK 74133

February 16, 2021 - Present

BOK FINANCIAL SECURITIES, INC.Current·CRD# 17530

RIA

BD

6505 E 101st Street, Tulsa, OK 74133

August 11, 2020 - Present

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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).

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)

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

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BOKFA WRAP FEE PROGRAM BROCHURE (3/31/2026)

BOKFA INVESTON WRAP FEE PROGRAM BROCHURE (3/31/2026)

BOKFA PART 2A FORM BROCHURE (3/31/2026)

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

3,330

AUM (Assets Under Management)

$1,058,021,768

Disclosures

Regulatory Event

12

Arbitration

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(9/13/2024)

RR

Arizona
(9/13/2024)

RR

Arkansas
(9/13/2024)

RR

California
(9/13/2024)

RR

Colorado
(9/13/2024)

RR

Connecticut
(9/9/2026)

RR

Delaware
(9/13/2024)

RR

District of Columbia
(9/13/2024)

RR

Florida
(9/13/2024)

RR

Georgia
(9/13/2024)

RR

Hawaii
(9/13/2024)

RR

Idaho
(9/13/2024)

RR

Illinois
(9/13/2024)

RR

Indiana
(9/13/2024)

RR

Iowa
(9/13/2024)

RR

Kansas
(9/13/2024)

RR

Kentucky
(9/13/2024)

RR

Louisiana
(9/13/2024)

RR

Maine
(9/13/2024)

RR

Maryland
(9/13/2024)

RR

Massachusetts
(9/13/2024)

RR

Michigan
(9/13/2024)

RR

Minnesota
(9/13/2024)

RR

Mississippi
(9/13/2024)

RR

Missouri
(9/13/2024)

RR

Montana
(9/13/2024)

RR

Nebraska
(9/13/2024)

RR

Nevada
(9/13/2024)

RR

New Hampshire
(9/13/2024)

RR

New Jersey
(9/13/2024)

RR

New Mexico
(9/13/2024)

RR

New York
(9/13/2024)

RR

North Carolina
(9/13/2024)

RR

North Dakota
(9/13/2024)

RR

Ohio
(9/13/2024)

RR

Oklahoma
(2/16/2021)

IAR

Oklahoma
(2/16/2021)

RR

Oregon
(9/13/2024)

RR

Pennsylvania
(9/13/2024)

RR

Rhode Island
(9/13/2024)

RR

South Carolina
(9/13/2024)

RR

South Dakota
(9/13/2024)

RR

Tennessee
(9/13/2024)

RR

Texas
(9/13/2024)

RR

Utah
(9/13/2024)

RR

Virginia
(9/13/2024)

RR

Washington
(9/13/2024)

RR

West Virginia
(10/15/2026)

RR

Wisconsin
(9/13/2024)

RR

Wyoming
(9/13/2024)

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.