Steven Edward Collopy
Professional Summary
Steven Edward Collopy was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1999 - 2022. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
DCM ADVISORS, LLC | HECKMAN GLOBAL | DINOSAUR CAPITAL MANAGEMENT LLC
Contact Information
Main Address
33 Whitehall Street 11th Floor, New York, NY 10004Phone Number
(917) 386-6260# of Employees
11SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
51AUM (Assets Under Management)
$260,523,078Similar Advisors
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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.
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Primary Firm SEC Registration
DCM ADVISORS, LLC | HECKMAN GLOBAL | DINOSAUR CAPITAL MANAGEMENT LLC
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1999About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Nov 2010About the Series 28 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2003About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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