Daniel Joseph Neeley
Professional Summary
Daniel Joseph Neeley is a registered financial advisor currently at HAROLD DANCE INVESTMENTS located in Logan, Utah. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 1 firm and has passed the Series 63, Series 65, Series 99TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
Years of Experience
18 years in the financial services industry
Current & Past Employments
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
Current Firm
HAROLD DANCE BROKERAGE | HAROLD W. DANCE INC. | HAROLD DANCE INVESTMENTS
Contact Information
Main Address
72 E Center Street, Logan, UT 84321Mailing Address
72 E Center Street, Logan, UT 84321Phone Number
(435) 752-8484Established
Utah since 03/31/1964Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
8SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
409AUM (Assets Under Management)
$158,000,000Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
Primary Firm SEC Registration
HAROLD DANCE BROKERAGE | HAROLD W. DANCE INC. | HAROLD DANCE INVESTMENTS
State Registrations and Notice Filings
(8/21/2008)
(12/10/2024)
(6/24/2008)
(8/21/2008)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2008About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 2009About the Series 26 examSRO Registrations
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Neeley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Neeley's CRS (Customer Relationship Summary).
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRANSPACIFIC GROUP LLC
TREASURE VALLEY FINANCIAL PLANNING
FALCON WEALTH PLANNING, LLC
