DS
Daniel P. Stephany
PRINCIPAL SECURITIES
Pryor, OK 74361
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CRD#: 6607446
DS
Professional summary
Daniel Paul Stephany, who also goes by Dan Stephany, Daniel Stephany, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Pryor, Oklahoma.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Daniel has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Stephany | Daniel Stephany
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.
**Door Dash: driver for Door Dash, not investment related, 1616 Pasadena St. Broken Arrow, OK 74011, started May 6, 2024. 8 hours/month, none during trading hours. **RHEMA BIBLE CHURCH POSITION: Head Usher - Exaltation student service NATURE: Usher / Captain INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 07/23/2023 ADDRESS: 1025 W Kenosha St, Broken Arrow OK 74012, United States DESCRIPTION: I serve as an usher for Sunday morning worship services, sometimes as a captain of my section. I also serve as the Head Usher for Rhema Bible Training College Student revival services called Exaltation. **Flippo Insurance POSITION: Agent NATURE: Group/Health Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 32 START DATE: 06/12/2024 ADDRESS: 4008 S. Elm Pl, Suite C, Broken Arrow OK 74011, United States DESCRIPTION: Health insurance market for ACA and Medicare beneficiaries. **INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 96 START DATE: 06/12/2025 ADDRESS: 4008 S Elm Pl, Suite C, Broken Arrow OK 74011, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Paul Stephany's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Paul Stephany'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
February 18, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 115 S Adair St, Pryor, OK 74361RIA
BD
CRD#: 1137
Pryor, OK
Current
July 18, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 115 S Adair St, Pryor, OK 74361RIA
BD
CRD#: 1137
Pryor, OK
Past
April 13, 2018 - December 31, 2022
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
Brandon, SD
Past
December 4, 2017 - April 13, 2018
LINCOLN INVESTMENT
BD
CRD#: 519
West Des Moines, IA
Past
July 21, 2016 - November 10, 2017
PFS INVESTMENTS INC.
BD
CRD#: 10111
URBANDALE, IA
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Iowa(3/18/2025)
RR
Oklahoma(7/18/2024)
IAR
Oklahoma(2/18/2025)
RR
South Dakota(2/28/2025)
RR
Texas(3/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Pryor, OK 74361TRUST BUT VERIFY
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