Steven P. Cooper

DEW POINT CAPITAL

Los Angeles, CA 90013

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CRD#: 4879645

Professional summary

Steven Paul Cooper is a registered financial advisor currently at DEW POINT CAPITAL located in Los Angeles, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Steven has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Steven Paul Cooper is a licensed insurance agent. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. Dew Point Capital, Inc. always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Dew Point Capital, Inc. in their capacity as a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Cooper's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 19, 2019 - Present

DEW POINT CAPITAL

Office #1: 1019 E. 4th Pl., Los Angeles, CA 90013

RIA

CRD#: 305010

Los Angeles, CA

Past

August 8, 2017 - June 5, 2019

STEELPEAK WEALTH, LLC

RIA

CRD#: 165168

WOODLAND HILLS, CA

Past

March 17, 2014 - July 28, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CENTURY CITY, CA

Past

March 17, 2014 - July 28, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CENTURY CITY, CA

Past

December 6, 2010 - March 20, 2014

EDWARD JONES

RIA

CRD#: 250

BEVERLY HILLS, CA

Past

November 19, 2010 - March 20, 2014

EDWARD JONES

CRD#: 250

BEVERLY HILLS, CA

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".

DEW POINT CAPITAL

DEW POINT CAPITAL | DEW POINT INSURANCE SERVICES | DEW POINT CAPITAL, INC.

CRD#: 305010 / SEC#: 801-122323

RIA

Registered Investment Advisory firm - (9/16/2021 Approved)

California

Registered Investment Advisory firm - (10/20/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2021 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/19/2019)

IAR

Texas
(10/21/2019)

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: 12/3/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2010

General Securities Representative Examination

Current Firm

DEW POINT CAPITAL

DEW POINT CAPITAL | DEW POINT INSURANCE SERVICES | DEW POINT CAPITAL, INC.

CRD#: 305010 / SEC#: 801-122323

RIA

Registered Investment Advisory firm - (9/16/2021 Approved)

California

Registered Investment Advisory firm - (10/20/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2021 Terminated)

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Contact information

Main Address

7080 Hollywood Blvd. 7th Floor, Los Angeles, CA 90028

Mailing Address

Phone number

(410) 258-2174

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEW POINT CAPITAL BROCHURE (4/29/2025)

Regulatory assets under management

Total Number of Accounts	919
AUM (Assets Under Management)	$ 366,631,000

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 P. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEELPEAK WEALTH, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

DEW POINT CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2010

SIE

Date: 7/28/2017

Series 7

Date: 11/18/2010

Current Firm

DEW POINT CAPITAL

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEW POINT CAPITAL

TRUST BUT VERIFY

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