James Redwine Parker | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Redwine Parker, who also goes by Jim Parker, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 14 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Jim Parker

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 9, 2004 - March 8, 2010

BOK FINANCIAL SECURITIES, INC.

BD

CRD#: 17530

LITTLE ROCK, AR

Past

September 7, 2001 - February 21, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD

CRD#: 6694

ST. PETERSBURG, FL

Past

March 25, 1999 - March 29, 2000

THE VARIABLE ANNUITY MARKETING COMPANY

BD

CRD#: 5081

HOUSTON, TX

Past

March 25, 1999 - March 29, 2000

VALIC FINANCIAL ADVISORS, INC.

BD

CRD#: 42803

HOUSTON, TX

Past

December 23, 1996 - April 15, 1998

VINING-SPARKS IBG, LLC

BD

CRD#: 27502

MEMPHIS, TN

Past

September 11, 1996 - January 4, 1997

WMA SECURITIES, INC.

BD

CRD#: 32625

DULUTH, GA

Past

September 29, 1994 - April 25, 1995

MARION BASS SECURITIES CORPORATION

BD

CRD#: 7961

CHARLOTTE, NC

Past

January 22, 1990 - March 28, 1994

BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC.

BD

CRD#: 17097

LITTLE ROCK, AR

Past

August 1, 1988 - January 4, 1989

AHART & BRYAN, INC.

BD

CRD#: 16521

Past

March 24, 1986 - September 1, 1987

AHART & BRYAN, INC.

BD

CRD#: 16521

Past

March 18, 1985 - November 12, 1985

BRITTENUM & ASSOCIATES, INC.

BD

CRD#: 7179

Past

October 17, 1984 - March 28, 1985

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

Past

March 22, 1983 - October 16, 1984

E. F. HUTTON & COMPANY INC

BD

CRD#: 235

Past

March 30, 1982 - January 3, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

Past

March 23, 1981 - June 17, 1981

PIEDMONT CAPITAL CORPORATION

BD

CRD#: 711

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

RR

Series 63

Date: 3/7/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 3/19/1982

Investment Company Products/Variable Contracts Representative Examination

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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Advisor Monitoring

Firm Stability Insights

James R. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

VINING-SPARKS IBG, LLC

WMA SECURITIES, INC.

MARION BASS SECURITIES CORPORATION

BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC.

AHART & BRYAN, INC.

AHART & BRYAN, INC.

BRITTENUM & ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

AMERIPRISE FINANCIAL SERVICES, LLC

PIEDMONT CAPITAL CORPORATION

Primary Firm SEC Registration

BOK FINANCIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/7/1981

Series 7

Date: 3/19/1983

Series 6

Date: 3/19/1982

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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