Daniel R. Katz

STEELE STREET PRIVATE WEALTH MANAGEMENT

Denver, CO 80209

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CRD#: 5321599

Professional summary

Daniel Richard Katz, who also goes by Dan Katz, is a registered financial advisor currently at STEELE STREET PRIVATE WEALTH MANAGEMENT located in Denver, Colorado.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Daniel has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Katz

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) Committee Member of CFA Society Colorado and does not receive compensation for his involvement. Investment Related. Less than 10% of his time is spent. 2) Advisory board for University of Colorado - Boulder Economics Department and does not receive compensation for his involvement. Not investment related. Less than 10% of his time is spent. 3) 3/2023 - Member of Board of Directors of Economic Literacy Colorado and chair of the business development committee and does not receive compensation for his involvement. Not investment related. Less than 10% of his time is spent. 4) 3/2023 - Treasurer of Stanley British Primary School Parents Association (no direct control over financial assets - strictly budget and audit duties) and does not receive compensation for his involvement. Not investment related. Less than 10% of his time is spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Richard Katz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 29, 2019 - Present

STEELE STREET PRIVATE WEALTH MANAGEMENT

Office #1: 50 S. Steele Street, Suite 501, Denver, CO 80209

RIA

CRD#: 299856

Denver, CO

Past

September 21, 2017 - December 19, 2018

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

September 21, 2017 - December 19, 2018

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DENVER, CO

Past

June 24, 2014 - August 30, 2017

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

DENVER, CO

Past

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/29/2019)

IAR

Texas
(1/30/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/10/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/19/2011

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/19/2007

General Securities Representative Examination

Current Firm

STEELE STREET PRIVATE WEALTH MANAGEMENT

CDKV HOLDINGS LLC | STEELE STREET PRIVATE WEALTH MANAGEMENT

CRD#: 299856 / SEC#: 801-120361

RIA

Registered Investment Advisory firm - (2/19/2021 Approved)

Colorado

Registered Investment Advisory firm - (2/26/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/19/2021 Terminated)

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Contact information

Main Address

50 S. Steele Street, Suite 501, Denver, CO 80209

Mailing Address

Phone number

(720) 730-2550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	303
AUM (Assets Under Management)	$ 151,813,507

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.

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Advisor Monitoring

Firm Stability Insights

Daniel R. Katz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Richard Katz's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FFEC WEALTH PARTNERS LLC

DENVER PWM, LLC

FFEC WEALTH PARTNERS LLC

GILL CAPITAL PARTNERS, LLC

GILL CAPITAL PARTNERS, LLC

MORGAN STANLEY

MORGAN STANLEY

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

Primary Firm SEC Registration

STEELE STREET PRIVATE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2007

SIE

Date: 10/1/2018

Series 31

Date: 9/19/2011

Series 7

Date: 4/19/2007

Current Firm

STEELE STREET PRIVATE WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELE STREET PRIVATE WEALTH MANAGEMENT

TRUST BUT VERIFY

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