Mauro W. Calderon

DCM ADVISORS

NEW YORK, NY 10004

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CRD#: 5107721

Professional summary

Mauro W Calderon is a registered financial advisor currently at DCM ADVISORS, LLC located in New York, New York and DINOSAUR FINANCIAL GROUP, L.L.C located in New York, New York.

Mauro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mauro has worked at 3 firms and has passed the Series 63, Series 86, Series 99TO, Series 87, Series 79TO, SIE, Series 7 and Series 24 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.

DCM Advisors LLC: Investment Related, 33 Whitehall Street, Suite #1102, New York, NY 10004, Investment Advisor, Start Date: 8/9/24 (less than 10 hours a month).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauro W Calderon'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 4, 2024 - Present

DCM ADVISORS, LLC

Office #1: 33 Whitehall Street 11th Floor, New York, NY 10004

RIA

CRD#: 126248

NEW YORK, NY

Current

November 23, 2009 - Present

DINOSAUR FINANCIAL GROUP, L.L.C

Office #1: 33 Whitehall Street #1102, New York, NY 10004

CRD#: 104446

NEW YORK, NY

Past

June 30, 2006 - April 2, 2009

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

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.

IAR

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(9/4/2024)

Colorado
(4/2/2021)

Florida
(4/2/2021)

Michigan
(4/2/2021)

IAR

New Jersey
(9/5/2024)

New York
(5/19/2010)

IAR

New York
(9/4/2024)

IAR

Texas
(9/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/18/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 86

Date: 1/13/2023

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 87

Date: 10/17/2022

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 79TO

Date: 8/13/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2015

General Securities Principal Examination

SRO Registrations

FINRA

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

Mauro W. Calderon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauro W Calderon's CRS (Customer Relationship Summary).

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

CREDIT AGRICOLE SECURITIES (USA) INC.

Primary Firm SEC Registration

DCM ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2010

Series 86

Date: 1/13/2023

Series 99TO

Date: 1/2/2023

Series 87

Date: 10/17/2022

Series 79TO

Date: 8/13/2021

SIE

Date: 10/1/2018

Series 7

Date: 6/29/2006

Series 24

Date: 12/12/2015

FINRA

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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