DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

DANIEL WAYNE STEFFES

Advisor at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC

GOLDEN VALLEY, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:545cad4f-5ed4-bf4c-124e-9a2d836fe266

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 24, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THE OAK RIDGE FINANCIAL SERVICES GROUP, INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 7
Exams: S63|S65|S66
First exam: Aug 10, 2000
First registration: Jun 24, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4209395

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC	Independent wealth	Jun 5, 2023	n/a	yes	GOLDEN VALLEY, MN	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	Nov 8, 2019	Jul 5, 2023	no	St. Paul, MN\|St. Paul, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Nov 13, 2019	no	LAKE ELMO, MN\|EDINA, MN	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jun 24, 2003	Oct 5, 2009	no	MINNETONKA, MN\|LAKE ELMO, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HILLTOP SECURITIES INC.	THE OAK RIDGE FINANCIAL SERVICES GROUP, INC	Jul 5, 2023	Jun 5, 2023	-30	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	HILLTOP SECURITIES INC.	Nov 13, 2019	Nov 8, 2019	-5	Firm change	Ibd to ibd
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ THE OAK RIDGE FINANCIAL SERVICES GROUP, INCRegistered adviserregistration: current employment
Jun 5, 2023 to presentfactForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Nov 8, 2019 to Jul 5, 2023factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Nov 13, 2019factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 24, 2003 to Oct 5, 2009factForm ADV

Dated events

Occurred
Jul 5, 2023
Advisor changed firm
Daniel Wayne Steffes left Hilltop Securities Inc. for The Oak Ridge Financial Services Group, Inc (registered 2023-06-05)
Form ADVobserved 5 days ago