Daniel E. Shay

STEPP & ROTHWELL

Overland Park, KS 66210

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CRD#: 6060989

Professional summary

Daniel Eugene Shay, CFP® is a registered financial advisor currently at STEPP & ROTHWELL INC located in Overland Park, Kansas.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Daniel has worked at 2 firms and has passed the Series 66 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Eugene Shay'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

July 2, 2018 - Present

STEPP & ROTHWELL INC

Office #1: 7300 College Boulevard Suite 100, Overland Park, KS 66210

RIA

CRD#: 107999

Overland Park, KS

Past

August 31, 2012 - February 5, 2013

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

LEAWOOD, KS

Past

July 10, 2012 - February 5, 2013

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

LEAWOOD, KS

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".

STEPP & ROTHWELL INC

CRD#: 107999 / SEC#: 801-55489

RIA

Registered Investment Advisory firm - (5/26/1998 Approved)

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

Kansas
(7/2/2018)

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: 8/23/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/9/2012

General Securities Representative Examination

Current Firm

STEPP & ROTHWELL INC

CRD#: 107999 / SEC#: 801-55489

RIA

Registered Investment Advisory firm - (5/26/1998 Approved)

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Contact information

Main Address

7300 College Boulevard Suite 100, Overland Park, KS 66210

Mailing Address

Phone number

(913) 345-4800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEPP & ROTHWELL, INC. PART 2B DISCLOSURE BROCHURE 7/2025 (8/18/2025)

STEPP & ROTHWELL, INC. PART 2A DISCLOSURE BROCHURE 3/2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,276
AUM (Assets Under Management)	$ 963,693,327

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
12/15/2023	Cover Page	Report
01/19/2023	Cover Page	Report

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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Daniel E. Shay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Eugene Shay's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPP & ROTHWELL INC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

STEPP & ROTHWELL INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2012

Series 7

Date: 7/9/2012

Current Firm

STEPP & ROTHWELL INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STEPP & ROTHWELL INC

TRUST BUT VERIFY

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