Unclaimed Profile

James Augustus Shaw

BOK FINANCIAL SECURITIES, INC.·TULSA, Oklahoma

SIE, Series 7, Series 24, Series 26, Series 52TO, Series 63, Series 65Clean record14 years registeredBOK FINANCIAL SECURITIES, INC.

ONE WILLIAMS CENTER, TULSA, OK 74102CRD# 1264136Firm CRD# 17530

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Augustus Shaw · TULSA, OK

Registration

CRD #1264136 · BOK FINANCIAL SECURITIES, INC. · 14 years registered

Brand Profile

Not yet started

Career History

BOK FINANCIAL ADVISORS

Mar 2018 – present

AXA ADVISORS, LLC

Dec 2011 – Jul 2017

OKLAHOMA CITY, OK

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 26

Series 52TO

Series 63

Series 65

Registration record

First registered · December 15, 2011

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

BOK FINANCIAL SECURITIES, INC.

CRD 17530 · SEC 801-53600

AUM

$738M

Regulatory assets under management

Employees

165

3,101 client accounts

Services offered by BOK FINANCIAL SECURITIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at BOK FINANCIAL SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does James Augustus Shaw offer?

James Augustus Shaw specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in TULSA, Oklahoma for a consultation.

What are James Augustus Shaw's credentials?

James Augustus Shaw is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Augustus Shaw located?

James Augustus Shaw is based in TULSA, Oklahoma, working with BOK FINANCIAL SECURITIES, INC.. Their office serves clients in the TULSA metropolitan area and surrounding communities.

How does James Augustus Shaw charge for services?

James Augustus Shaw's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BOK FINANCIAL SECURITIES, INC.?

BOK FINANCIAL SECURITIES, INC. has approximately 165 employees and manages $738M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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