Aaron James Neeley

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Contact Information

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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.

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Years of Experience

12 years registered in the securities industry

Current & Past Employments

Current

HAROLD DANCE INVESTMENTSCurrent·CRD# 1582

RIA

BD

72 E Center Street, Logan, UT 84321

September 15, 2015 - Present

HAROLD DANCE INVESTMENTSCurrent·CRD# 1582

RIA

BD

72 E Center Street, Logan, UT 84321

February 9, 2015 - Present

Past

GOLDMAN SACHS & CO. LLCPast·CRD# 361

BD

New York, NY

August 18, 2014 - February 26, 2015

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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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

8

SEC 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

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART II (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
NEELEY, AARON JAMES	VICE PRESIDENT, S-CORP SHAREHOLDER	6001558
NEELEY, DANIEL JOSEPH	VICE PRESIDENT, S-CORP SHAREHOLDER	5556337
NEELEY, STEPHEN F	PRESIDENT; CCO; S-CORP SHAREHOLDER	3235100

Regulatory Assets Under Management

Total Number of Accounts

409

AUM (Assets Under Management)

$158,000,000

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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.

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.

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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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Idaho
(9/15/2015)

RR

Utah
(9/15/2015)

IAR

Utah
(9/15/2015)

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.