Stephen Neeley has been President and CCO and S-Corp Shareholder of Harold W. Dance since July 2004, is a control person of the firm and directly owns under 5% of it. Stephen Neeley holds a Bachelor of Arts in Accounting from Utah State University and a Master of Business Administration from Kellogg School of Management, Northwestern University.
Harold W. Dance Inc. is a Logan, UT firm with $158M under management, 306 clients and 8 advisers in one office, as of its August 2026 filing.
Stephen F. Neeley is President of Harold Dance Investments and a shareholder of the firm. He joined the firm in 1999 as Vice President and has served as President since 2004.
Investment adviser representative registrations
Stephen Neeley is registered as an investment adviser representative in Utah, since April 2005.
- UtahSince 18 April 2005
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 28 February 2005 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 27 November 2002 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 July 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 June 1999 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Stephen F Neeley
- CRD
- 3235100
- Firm
- Harold W. Dance · CRD 1582
- Role
- President; CCO; S-Corp Shareholder
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- harolddance.com
Where does Stephen Neeley work?
Stephen Neeley has been President; CCO; S-Corp Shareholder of Harold W. Dance Inc. since July 2004, and is a control person of the firm.
Is Stephen Neeley a financial advisor?
Yes. Stephen Neeley has a current investment-adviser registration in Utah, through Harold W. Dance since April 2005.
How many years of experience does Stephen Neeley have?
Stephen Neeley has 27 years in the financial industry, since July 1999, across 1 adviser firm.
What exams has Stephen Neeley passed?
Stephen Neeley has passed 5 licensing exams: the Series 63, Series 6, Series 26, Series 65 and Series 99TO. The earliest, the Series 63, was passed in June 1999. FINRA credited Stephen Neeley with the SIE, which began in October 2018.
Is Stephen Neeley registered with FINRA?
Yes. Stephen Neeley has a current broker registration, under CRD 3235100.
Source: FINRA BrokerCheck
How can I verify Stephen Neeley’s record?
Search CRD 3235100 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Stephen Neeley’s full registration record.