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Current Employers
Cavanal Hill Investment Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-10
CO RA APPROVED 2025-05-28
CT RA APPROVED 2024-05-23
TX RA APPROVED 2024-01-02
WI RA APPROVED 2023-03-16
TN RA APPROVED 2022-06-28
IL RA APPROVED 2022-06-27
IA RA APPROVED 2022-06-27
KS RA APPROVED 2022-06-27
MO RA APPROVED 2022-06-27
OK RA APPROVED 2022-06-27
  • CA RA
    APPROVED
    Since 2025-09-10
  • CO RA
    APPROVED
    Since 2025-05-28
  • CT RA
    APPROVED
    Since 2024-05-23
  • TX RA
    APPROVED
    Since 2024-01-02
  • WI RA
    APPROVED
    Since 2023-03-16
  • TN RA
    APPROVED
    Since 2022-06-28
  • IL RA
    APPROVED
    Since 2022-06-27
  • IA RA
    APPROVED
    Since 2022-06-27
  • KS RA
    APPROVED
    Since 2022-06-27
  • MO RA
    APPROVED
    Since 2022-06-27
  • OK RA
    APPROVED
    Since 2022-06-27

Branch Locations

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

Middleton, CT • 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
OrganizationCityStateFromTo
Aig Capital Services, Inc. Jersey City NJ 04/2011 07/2021
American General Life Insurance Jersey City NJ 05/2015 07/2021
Cavanal Hill Dist., Inc. Nashville TN 03/2022 Present
Unemployed Nashville TN 07/2021 02/2022
Cavanal Hill Investment Management, Inc Nashville TN 03/2022 Present
  • 04/2011 → 07/2021
    Aig Capital Services, Inc.
    Jersey City, NJ
  • 05/2015 → 07/2021
    American General Life Insurance
    Jersey City, NJ
  • 03/2022 → Present
    Cavanal Hill Dist., Inc.
    Nashville, TN
  • 07/2021 → 02/2022
    Unemployed
    Nashville, TN
  • 03/2022 → Present
    Nashville, TN
Other Businesses

Name: BOK Financial Address: One Williams Center, 15th Floor, Tulsa OK 74172 Inv rel: Y Start: 03/2022 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-06-25
S63 Uniform Securities Agent State Law Examination 2011-05-27
  • S65 Uniform Investment Adviser Law Examination
    2022-06-25
  • S63 Uniform Securities Agent State Law Examination
    2011-05-27

View on SEC IAPD

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