Gregory W. Serbe

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CRD#: 1253637

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gregory Wayne Serbe was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 23, 2021 - October 1, 2021

DCM ADVISORS, LLC

RIA

CRD#: 126248

NEW YORK, NY

Past

September 1, 2017 - October 1, 2021

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

New York, NY

Past

June 26, 2009 - December 31, 2016

LEBENTHAL ASSET MANAGEMENT, LLC

RIA

CRD#: 146332

NEW YORK, NY

Past

March 18, 2008 - September 21, 2017

LEBENTHAL & CO., LLC

CRD#: 145750

New York, NY

Past

September 11, 2007 - March 5, 2008

IDB CAPITAL CORP.

RIA

CRD#: 106032

NEW YORK, NY

Past

September 11, 2007 - March 5, 2008

IDB CAPITAL CORP.

CRD#: 106032

NEW YORK, NY

Past

September 29, 2006 - August 22, 2007

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PLAINSBORO, NJ

Past

September 29, 2006 - August 22, 2007

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

March 3, 2006 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

NEW YORK, NY

Past

March 2, 2006 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

February 6, 2003 - May 23, 2006

BOSTON ADVISORS, INC.

RIA

CRD#: 110981

NEW YORK, NY

Past

June 7, 2002 - March 6, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

February 13, 1997 - June 7, 2002

LEBENTHAL & CO., INC.

CRD#: 6490

NEW YORK, NY

Past

March 22, 1984 - January 16, 1996

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

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".

DCM ADVISORS, LLC

DCM ADVISORS, LLC | HECKMAN GLOBAL | DINOSAUR CAPITAL MANAGEMENT LLC

CRD#: 126248 / SEC#: 801-112041

RIA

Registered Investment Advisory firm - (11/16/2017 Approved)

New York

Registered Investment Advisory firm - (6/30/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/31/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/2/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/15/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/10/1992

Municipal Securities Principal Examination

Current Firm

DCM ADVISORS, LLC

DCM ADVISORS, LLC | HECKMAN GLOBAL | DINOSAUR CAPITAL MANAGEMENT LLC

CRD#: 126248 / SEC#: 801-112041

RIA

Registered Investment Advisory firm - (11/16/2017 Approved)

New York

Registered Investment Advisory firm - (6/30/2019 Terminated)

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Contact information

Main Address

33 Whitehall Street 11th Floor, New York, NY 10004

Mailing Address

Phone number

(917) 386-6260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DCM ADVISORS ADV PART 2A 3.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58
AUM (Assets Under Management)	$ 220,149,441

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.

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Firm Stability Insights

Gregory W. Serbe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

LEBENTHAL ASSET MANAGEMENT, LLC

LEBENTHAL & CO., LLC

IDB CAPITAL CORP.

IDB CAPITAL CORP.

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

BOSTON ADVISORS, INC.

ADVEST, INC.

LEBENTHAL & CO., INC.

UBS ASSET MANAGEMENT (US) INC.

Primary Firm SEC Registration

DCM ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2003

Series 65

Date: 2/2/1994

Series 63

Date: 7/29/1986

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

Series 24

Date: 8/15/1995

Series 53

Date: 6/10/1992

Current Firm

DCM ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DCM ADVISORS, LLC

TRUST BUT VERIFY

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