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Steve Dwain Germany
STEVE DWAIN GERMAN
CRD#: 2765364
IA
Investment Adviser
B
Broker Regulated by FINRA
BOK FINANCIAL SECURITIES, INC.CRD#: 17530 2250 STATE HWY 114 W.
GRAPEVINE, TX 76051
+1
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - Present (17 years)BJEFFERSON PILOT SECURITIES COR... (CRD# 3870)2000 - 2005 (5 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1996 - 2000 (4 years)IAJEFFERSON PILOT SECURITIES CORP (CRD# 3870)2005 - 2005 (<1 year)
Disclosure(s)
View By:
4/24/2014
Customer Dispute
Closed-No Action
12/31/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama

B
New Hampshire

B
Arizona

B
New Jersey

B
Arkansas

B
North Carolina

B
California

B
Ohio

B
Colorado

B
Oklahoma

B
Florida

B
South Carolina

B
Georgia

B
Texas

B
Hawaii

IA
Texas

B
Indiana

B
Utah

B
Iowa

B
Virginia

B
Missouri

B
Washington

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
BOK FINANCIAL SECURITIES, INC. (CRD#:17530)
2250 STATE HWY 114 W., GRAPEVINE, TX 76051
5909 CAMP BOWIE BLVD., Fort Worth, TX 76107
600 Penn Street, Fort Worth, TX 76102
3908 Telephone Rd., Fort Worth, TX 76135
Registered with this firm since 6/1/2007

IA
BOK FINANCIAL ADVISORS (CRD#:17530)
2250 STATE HWY 114 W., GRAPEVINE, TX 76051
5909 CAMP BOWIE BLVD., Fort Worth, TX 76107
600 Penn Street, Fort Worth, TX 76102
3908 Telephone Rd., Fort Worth, TX 76135
Registered with this firm since 6/1/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/03/2006 - 06/23/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) GRAPEVINE, TX
B
01/03/2006 - 06/23/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) GRAPEVINE, TX
IA
08/26/2005 - 12/31/2005 JEFFERSON PILOT SECURITIES CORP (CRD#:3870) ADDISON, TX
B
09/06/2000 - 12/31/2005 JEFFERSON PILOT SECURITIES CORPORATION (CRD#:3870) ADDISON, TX
B
07/23/1996 - 08/28/2000 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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