James K. Mulvey

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CRD#: 2403682

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.

James Kevin Mulvey, who also goes by Jim Mulvey, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1993. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Mulvey

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

September 1, 2021 - December 31, 2022

DCM ADVISORS, LLC

RIA

CRD#: 126248

HAMPTON BAYS, NY

Past

June 27, 2006 - November 6, 2008

SLOAN SECURITIES CORP.

CRD#: 17930

SOUTH HAMPTON, NY

Past

December 1, 2004 - June 28, 2006

LACONIA CAPITAL CORPORATION

CRD#: 104027

NEW YORK, NY

Past

February 3, 1997 - July 6, 2004

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

December 17, 1996 - February 4, 1997

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

May 22, 1995 - December 17, 1996

DRESDNER SECURITIES (USA) INC.

CRD#: 1993

NEW YORK, NY

Past

October 6, 1993 - April 19, 1995

SHELBY CULLOM DAVIS & CO., L.P.

CRD#: 767

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

Series 63

Date: 12/3/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/5/1993

General Securities Representative 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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James K. Mulvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DCM ADVISORS, LLC

SLOAN SECURITIES CORP.

LACONIA CAPITAL CORPORATION

MOORS & CABOT, INC.

COMMERZ MARKETS LLC

DRESDNER SECURITIES (USA) INC.

SHELBY CULLOM DAVIS & CO., L.P.

Primary Firm SEC Registration

DCM ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1993

Series 7

Date: 10/5/1993

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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