BOK Financial Advisors logo

Legal Disclosures

InvestOn Client Agreement

InvestOn Program Brochure and Brochure Supplements

Offering Entity:

Securities, insurance and advisory services offered through BOK Financial Securities, Inc., member FINRA/SIPC and a subsidiary of BOK Financial Corporation. Services may be offered under our trade name, BOK Financial Advisors. NOT FDIC INSURED | NO BANK GUARANTEE | MAY LOSE VALUE. www.finra.org

Risk:

NOT FDIC INSURED | NO BANK GUARANTEE | MAY LOSE VALUE

Affiliation:

Cavanal Hill Investment Management, Inc., a wholly owned subsidiary of BOKF, NA, provides investment advice and administrative services to the Cavanal Hill Funds and receives a fee for its services. BOKF, NA provides custodial services to the Cavanal Hill Funds and receives a fee for its services.

Business Resumption

BOKFS' Business Resumption Plan has been developed in order to respond and recover should a disaster occur at one or more of our offices. The plan is designed for all of our business units to be able to resume business with the least amount of interruption to the many valuable services, which we provide to our customers.

Our plan outlines the actions BOKFS will take in the event of a building, city-wide, or regional incident, including relocating technology and operational personnel to pre-assigned alternate regional facilities. Technology data processing can also be switched to an alternate regional data center.

All BOKFS operational facilities are equipped for resumption of business and are regularly tested. Our recovery time objective for business resumption, including those involving a relocation of personnel or technology, is typically three (3) business days. This recovery objective may be negatively affected by the unavailability of external resources and circumstances beyond our control.

In the event of a significant business interruption, customers may call the toll-free contact numbers listed on our website, securities.bokfinancial.com

BOK Financial Securities, Inc. is an affiliate of BOKF, NA

InsureRate is not an affiliate of BOKF, NA, BOK Financial Securities Inc. or any of their affiliates.

Order Flow

SEC Rule 606 Reports
These reports (the Reports) are pursuant to Securities and Exchange Commission Rule 606, which requires all broker-dealers to make publicly available quarterly reports on their order routing practices. The Reports provide information on BOKFS' routing of non-directed orders, which are orders that customers have not specifically instructed to be routed to a particular venue for execution. Click here to access the SEC's final adopting release, along with the text of Rule 606 and here for the SEC's Frequently Asked Questions about Rule 606.

The link provides required information on BOKFS' order flows for orders by customers whose accounts are carried by Pershing, LLC.

View our detailed privacy policy.

MSRB Rule G-10 Investor Education and Protection

BOK Financial Securities, Inc. is registered with the U.S. Securities and Exchange Commission (“SEC”) and the Municipal Securities Rulemaking Board (“MSRB”). There is a brochure available on the MSRB website that describes the protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority.

BrokerCheck: Check the background of this firm on FINRA's BrokerCheck

   

Client Relationship Summary: Learn more about the services we provide to retail investors.

Personal and Business Accounts

Log in to a different personal or business account

Securities, insurance, and advisory services offered through BOK Financial Securities, Inc., member FINRA/SIPC and an SEC registered investment adviser. Services may be offered under our trade name, BOK Financial Advisors. Invest­ment and insurance products are: NOT FDIC INSURED | NO BANK GUARANTEE | MAY LOSE VALUE

Investments involve risk, including loss of principal. Past performance does not guarantee future results. There is no assurance that the investment process will consistently lead to successful investing. Asset allocation and diversification do not eliminate the risk of experiencing investment losses. Risks applicable to any portfolio are those associated with its underlying securities.

This document does not constitute advice or a recommendation or offer to sell or a solicitation to deal in any security or financial product. It is provided for information purposes only and on the understanding that the recipient has sufficient knowledge and experience to be able to understand and make their own evaluation of the proposals and services described herein, any risks associated therewith and any related legal, tax, accounting or other material consid­erations. Recipients should not rely on this material in making any future investment decision. To the extent that the reader has any questions regarding the applicability of any specific issue discussed above to their specific portfolio or situation, you are encouraged to consult with a qualified lawyer, accountant, or financial professional.

BOKF, NA is the bank subsidiary of BOK Financial Corporation (BOKF), a financial services holding company (NASDAQ:BOKF). BOKF offers trust and wealth management services through its subsidiaries including BOKF, NA (and its banking divisions Bank of Oklahoma, Bank of Texas, Bank of Albuquerque, and BOK Financial) and investment advisory services through its non-bank subsidiaries Cavanal Hill Investment Management, Inc., and BOK Financial Private Wealth, Inc., each an SEC registered investment adviser, and BOK Financial Securities, Inc., also an SEC registered investment adviser and registered broker/dealer, member FINRA/SIPC (each an “Investment Affiliate”) (collectively, “BOKF”).

INVESTMENT AND INSURANCE PRODUCTS ARE: NOT FDIC INSURED | NOT GUARANTEED BY THE BANK OR ITS AFFILIATES | NOT DEPOSITS | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY | MAY LOSE VALUE.