Steven E. Collopy

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CRD#: 3248068

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.

Steven Edward Collopy was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 28, Series 10 and Series 9 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.

Name of Business: DCM Advisors LLC Investment-Related: Yes Address: 475 Park Ave South, 9th Fl, New York, NY 10016 Nature of Business: Registered Investment Advisor Position/Title: COO Start Date: 9/2017 Hours/Month Devoted: 40 hrs/week Hours Devoted during Business Hours: 40 hrs/week Describe Duties: Oversees operations for affiliated RIA Name of Business: "Steven Collopy" Investment-Related: No Address: 361 Lincoln Ave, Glen Rock, NJ 07452 Nature of Business: Tax return preparation Position/Title: Self Start Date: 4/2018 Hours/Month Devoted: 5 hrs/week, only during month of April Hours Devoted during Business Hours: 0 Describe Duties: Not a formal business; prepares tax returns for family members

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

July 12, 2021 - May 20, 2022

DCM ADVISORS, LLC

RIA

CRD#: 126248

NEW YORK, NY

Past

September 28, 2017 - April 11, 2022

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

New York, NY

Past

December 23, 2013 - September 21, 2017

LEBENTHAL & CO., LLC

CRD#: 145750

New York, NY

Past

July 25, 2000 - December 16, 2013

GILDER GAGNON HOWE & CO. LLC

CRD#: 2002

NEW YORK, NY

Past

July 15, 1999 - January 25, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 15, 1999 - January 25, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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: 7/14/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 28

Date: 11/4/2010

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/10/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/16/2003

General Securities Sales Supervisor - Options Module 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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Advisor Monitoring

Firm Stability Insights

Steven E. Collopy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

LEBENTHAL & CO., LLC

GILDER GAGNON HOWE & CO. LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

DCM ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/14/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/23/2002

Series 6

Date: 7/14/1999

Series 28

Date: 11/4/2010

Series 10

Date: 4/10/2003

Series 9

Date: 1/16/2003

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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