Michael Robert Kraics

Current Employers

Cavanal Hill Investment Management, Inc.

One Williams Center 15Th Floor, Tulsa, OK 74172-0172 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2022-05-04
NJ	RA	APPROVED	2022-01-14
CT	RA	APPROVED	2022-01-06
DE	RA	APPROVED	2022-01-06
ME	RA	APPROVED	2022-01-06
NH	RA	APPROVED	2022-01-06
NY	RA	APPROVED	2022-01-06
RI	RA	APPROVED	2022-01-06
VT	RA	APPROVED	2022-01-06
OK	RA	APPROVED	2021-12-17

MA RA
APPROVED

Since 2022-05-04
NJ RA
APPROVED

Since 2022-01-14
CT RA
APPROVED

Since 2022-01-06
DE RA
APPROVED

Since 2022-01-06
ME RA
APPROVED

Since 2022-01-06
NH RA
APPROVED

Since 2022-01-06
NY RA
APPROVED

Since 2022-01-06
RI RA
APPROVED

Since 2022-01-06
VT RA
APPROVED

Since 2022-01-06
OK RA
APPROVED

Since 2021-12-17

Branch Locations

One Williams Center 15Th Floor, Tulsa, OK 74172-0172 • United States

Londonderry, NH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Northern Trust Bank	Chicago	IL	04/2014	12/2020
Northern Trust Securities, Inc.	Chicago	IL	04/2014	12/2020
Bmo Asset Management Corp.	Londonderry	NH	12/2020	09/2021
Foreside Financial Services, Llc	Londonderry	ME	01/2021	09/2021
Cavanal Hill Dist.	Londonderry	NH	10/2021	Present

04/2014 → 12/2020

Northern Trust Bank

Chicago, IL
04/2014 → 12/2020

Northern Trust Securities, Inc.

Chicago, IL
12/2020 → 09/2021

Bmo Asset Management Corp.

Londonderry, NH
01/2021 → 09/2021

Foreside Financial Services, Llc

Londonderry, ME
10/2021 → Present

Cavanal Hill Dist.

Londonderry, NH

Previous Registrations

2008-09-24 → 2014-04-15

Russell Investments

Londonderry, NH

Burlington, MA
2005-11-16 → 2006-07-13

Lord, Abbett & Co. Llc

Jersey City, NJ

Jersey City, NJ

Other Businesses

Name: BOK Financial Address: One Williams Center, 15th Floor, Tulsa OK 74172 Inv rel: Y Start: 10/21 Position: VP, External Wholesaler Nature of OBA: Financial Institution Hrs/mo: less than 2 Hrs/mo trade: less than 2 Description of duties: Maintains the requisite title of Vice President with BOK Financial, the parent company of Cavanal Hill Distributors. On occasion may receive some compensation for business referrals to BOK Financial affiliates. Generally accounts for less than 5% of total compensation and time in any given year.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-12-17
S66	Uniform Combined State Law Examination	2009-04-06
S63	Uniform Securities Agent State Law Examination	1997-08-06

S65 Uniform Investment Adviser Law Examination

2021-12-17
S66 Uniform Combined State Law Examination

2009-04-06
S63 Uniform Securities Agent State Law Examination

1997-08-06

View on SEC IAPD