Steven H. Roseman
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 Herbert Roseman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 2 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2023 - August 22, 2024
DCM ADVISORS, LLC
July 30, 2018 - December 31, 2022
DCM ADVISORS, LLC
July 12, 2002 - August 22, 2024
DINOSAUR FINANCIAL GROUP, L.L.C
Primary Firm SEC Registration
DCM ADVISORS, LLC
CRD#: 126248 / SEC#: 801-112041
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DCM ADVISORS, LLC
CRD#: 126248 / SEC#: 801-112041
Contact information
SEC notice filing (6 States and Territories)
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.
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