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Stephen F. Neeley
HAROLD DANCE INVESTMENTS
Logan, UT 84321
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CRD#: 3235100
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Professional summary
Stephen F Neeley is a registered financial advisor currently at HAROLD DANCE INVESTMENTS located in Logan, Utah.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME OF BUSINESS: 360 NORTH MAIN, LLC
INVESTMENT-RELATED: NO
ADDRESS OF BUSINESS: 360 N MAIN ST, LOGAN UT 84321
NATURE OF BUSINESS: COMMERCIAL REAL ESTATE RENTAL
TITLE: MEMBER
START DATE OF RELATIONSHIP: 08/19/2015
HOURS PER MONTH: 1 (NONE DURING SECURITIES TRADING HOURS)
DUTIES: NONE
COMPENSATION: PORTION OF PROFITS AS OWNER OF COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen F Neeley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen F Neeley'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
April 18, 2005 - Present
HAROLD DANCE INVESTMENTS
Office #1: 72 E Center Street, Logan, UT 84321Office #2: 72 E Center Street, Logan, UT 84321RIA
BD
CRD#: 1582
Logan, UT
Current
July 8, 1999 - Present
HAROLD DANCE INVESTMENTS
Office #1: 72 E Center Street, Logan, UT 84321Office #2: 72 E Center Street, Logan, UT 84321RIA
BD
CRD#: 1582
Logan, UT
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".
HAROLD DANCE INVESTMENTS
HAROLD DANCE BROKERAGE | HAROLD W. DANCE INC. | HAROLD DANCE INVESTMENTS
CRD#: 1582 / SEC#: 801-129647, 8-12160
RIA
Registered Investment Advisory firm - SEC (4/19/2024 Approved)Idaho
Registered Investment Advisory firm - SEC (5/15/2024 Terminated)Utah
Registered Investment Advisory firm - SEC (5/16/2024 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
Idaho(7/8/1999)
RR
Utah(7/8/1999)
IAR
Utah(4/18/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HAROLD DANCE INVESTMENTS
HAROLD DANCE BROKERAGE | HAROLD W. DANCE INC. | HAROLD DANCE INVESTMENTS
CRD#: 1582 / SEC#: 801-129647, 8-12160
RIA
Registered Investment Advisory firm - SEC (4/19/2024 Approved)Idaho
Registered Investment Advisory firm - SEC (5/15/2024 Terminated)Utah
Registered Investment Advisory firm - SEC (5/16/2024 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
72 E Center Street, Logan, UT 84321
Mailing Address
72 E Center Street, Logan, UT 84321
Phone number
(435) 752-8484
Established
Utah since 03/31/1964
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
7
SEC notice filing (5 States and Territories)
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 298 |
| AUM (Assets Under Management) | $ 132,000,000 |
Red Flags
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Company Information
HAROLD DANCE INVESTMENTS
CRD#: 1582Logan, UT 84321TRUST BUT VERIFY
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