DS
Daniel W. Stephens
JANNEY MONTGOMERY SCOTT LLC
Philadelphia, PA 19103
Some features on this profile are disabled
CRD#: 2808413
DS
Professional summary
Daniel William Stephens, who also goes by Dann Stephens, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Philadelphia, Pennsylvania.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dann Stephens
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CHRIST LUTHERAN CHURCH CEMETERY BOARD. 2211 MAINLAND ROAD, HARLEYSVILLE, PA 19438. NON-PROFIT RELIGIOUS. MEMBER OF CEMETERY BOARD. OVERSEE THE MAINTENANCE AND UPKEEP OF THE CEMETERY AT CHRIST EVANGELICAL LUTHERAN CHURCH IN KULPSVILLE. 2 HOURS/MO; 0 DURING TRADING HOURS. 2) IVC WEALTH ADVISORS, LLC. 163 E MAIN STREET, PO BOX 539, SILVERDALE, PA 18962. INSURANCE AGENCY. AGENT. 160 HOURS/MO; 160 DURING TRADING HOURS. 3) IVC WEALTH ADVISORS, LLC RIA (IVCWA) 163 E MAIN STREET, SILVERDALE, PA 18962. ICCWA IS A REGISTERED INVESTMENT ADVISOR (RIA). 60 HOURS/MO; 160 DURING TRADING HOURS. 4) Private Client Services; investment related: Yes; Location of the business: 2225 Lexington Rd Louisville, KY 40206; Description of the business: privately-owned Broker/Dealer and Registered Investment Advisor; Position Title: licensed brokers; Responsibilities Duties: Sales of financial brokerage products.; Start date with business: 2020-01-31; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 10. 5) Clear Employer Services - 900 ROUTE 9 NORTH, 3RD FLOOR, WOODBRIDGE, NJ 07095. PEO FIRM FOR HR SERVICES AND EMPLOYEE BENEFITS. 160 HOURS/MO; 160 DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel William Stephens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel William Stephens's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 24, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1717 Arch Street, Philadelphia, PA 19103RIA
BD
CRD#: 463
Philadelphia, PA
Current
October 24, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1717 Arch Street, Philadelphia, PA 19103RIA
BD
CRD#: 463
Philadelphia, PA
Past
January 31, 2020 - October 20, 2022
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
SILVERDALE, PA
Past
April 25, 2019 - October 21, 2022
IVC WEALTH ADVISORS LLC
RIA
CRD#: 301127
SILVERDALE, PA
Past
April 19, 2016 - August 19, 2019
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
SILVERDALE, PA
Past
October 3, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SILVERDALE, PA
Past
October 3, 2014 - February 4, 2020
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SILVERDALE, PA
Past
October 1, 2013 - October 3, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
DOYLESTOWN, PA
Past
September 26, 2013 - October 3, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
DOYLESTOWN, PA
Past
September 30, 1997 - September 20, 1999
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
November 18, 1996 - August 1, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 18, 1996 - March 26, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(10/24/2022)
RR
Maryland(10/24/2022)
RR
New Jersey(10/24/2022)
RR
Pennsylvania(10/24/2022)
IAR
Pennsylvania(10/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
