Daniel Stephen has been Managing Member/Chief Compliance Officer of Servatus Capital since August 2020, is a control person of the firm and directly owns between 50% and 75% of it.
Servatus Capital, LLC is a Naples, FL firm with $110M under management, 32 clients and 2 advisers across 2 offices, as of its September 2026 filing.
Daniel Stephen’s longest registration is the current one, 5 years at Servatus Capital since 2021. Before joining Servatus Capital in 2021, Daniel Stephen was registered through Stifel, Nicolaus & Company, Incorporated.
- Stifel, Nicolaus & Company, Incorporated– · 5 yearsSt. Louis, MO · Adviser representative · Firm CRD 793
Investment adviser representative registrations
Daniel Stephen is registered as an investment adviser representative in 2 states. The first approvals date from January 2021; the most recent is Missouri, in March 2021.
- FloridaSince 5 January 2021
- MissouriSince 26 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 24 September 2020 |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 13 December 2006 |
| Series 86 | Research Analyst Exam - Part I Analysis Module | 22 November 2006 |
| Series 66 | Uniform Combined State Law Examination | 19 October 2006 |
| Series 7 | General Securities Representative Examination | 20 September 2006 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Research Analyst Exam - Part I Analysis Module
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Daniel Gerard Stephen
- CRD
- 3232541
- Firm
- Servatus Capital · CRD 311428
- Role
- Managing Member/Chief Compliance Officer
- Office
- 999 VANDERBILT BEACH ROAD, SUITE 707, Naples, FL 34108
- Registration
- Investment adviser registration
- In the industry since
- November 2015
- Disciplinary history
- Not yet shown here · SEC record
Where does Daniel Stephen work?
Daniel Stephen has been Managing Member/Chief Compliance Officer of Servatus Capital, LLC since August 2020, and is a control person of the firm.
Is Daniel Stephen a financial advisor?
Yes. Daniel Stephen has a current investment-adviser registration in Florida and Missouri, through Servatus Capital since January 2021.
How many years of experience does Daniel Stephen have?
Daniel Stephen has 10 years in the financial industry, since November 2015, across 2 adviser firms.
What exams has Daniel Stephen passed?
Daniel Stephen has passed 5 licensing exams: the Series 7, Series 66, Series 86, Series 87 and Series 65. The earliest, the Series 7, was passed in September 2006.
Where did Daniel Stephen work before Servatus Capital?
Before Servatus Capital, Daniel Stephen was registered through Stifel, Nicolaus & Company, Incorporated, December 2007 to February 2013.
Where is Daniel Stephen based?
Daniel Stephen’s registered office is in Naples, FL.
Is Daniel Stephen registered with FINRA?
No. Daniel Stephen has no current broker registration.
How can I verify Daniel Stephen’s record?
Search CRD 3232541 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Daniel Stephen’s full registration record.