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Daniel Wayne Steffes

The Oak Ridge Financial Services Group, Inc.

Golden Valley, MN

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Current Employers
The Oak Ridge Financial Services Group, Inc.

701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-03-17
IL RA APPROVED 2024-08-26
MA RA APPROVED 2023-10-18
TX RA APPROVED 2023-06-06
IA RA APPROVED 2023-06-05
MN RA APPROVED 2023-06-05
WI RA APPROVED 2023-06-05
  • PA RA
    APPROVED
    Since 2026-03-17
  • IL RA
    APPROVED
    Since 2024-08-26
  • MA RA
    APPROVED
    Since 2023-10-18
  • TX RA
    APPROVED
    Since 2023-06-06
  • IA RA
    APPROVED
    Since 2023-06-05
  • MN RA
    APPROVED
    Since 2023-06-05
  • WI RA
    APPROVED
    Since 2023-06-05

Branch Locations

701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Advisor Services, Inc. Woodbury MN 05/2000 11/2019
Ameriprise Financial Services, Inc. Lake Elmo MN 10/2009 11/2019
Hilltop Securities Inc. Dallas TX 11/2019 Present
  • 05/2000 → 11/2019
    Ameriprise Advisor Services, Inc.
    Woodbury, MN
  • 10/2009 → 11/2019
    Ameriprise Financial Services, Inc.
    Lake Elmo, MN
  • 11/2019 → Present
    Hilltop Securities Inc.
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-26
S65 Uniform Investment Adviser Law Examination 2001-05-16
S63 Uniform Securities Agent State Law Examination 2000-08-10
  • S66 Uniform Combined State Law Examination
    2007-07-26
  • S65 Uniform Investment Adviser Law Examination
    2001-05-16
  • S63 Uniform Securities Agent State Law Examination
    2000-08-10

View on SEC IAPD

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Other Investors

ERLE BEAN SAVAGE
DAVID JAY GOLDENBERG
MICHAEL J SCHUMACHER
CHARLES GORDON JENSEN
TAI HWEE STANLEY DIONG
JULIEANN ELIZABETH SCHROEDER
JOHN WILLIAM MACKIMM
Joseph Norman Johnston

Other Offices

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC · GOLDEN VALLEY, MN
EVEREST FINANCIAL GROUP · MINNEAPOLIS, MN
THRIVENT INVESTMENT MANAGEMENT INC. · GOLDEN VALLEY, MN
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Golden Valley, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · GOLDEN VALLEY, MN
OSAIC WEALTH, INC. · MINNEAPOLIS, MN
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. · GOLDEN VALLEY, MN
ALLIANZ INVESTMENT MANAGEMENT LLC · MINNEAPOLIS, MN

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