Unclaimed Profile

Steven Herbert Roseman

DCM ADVISORS, LLC·NEW YORK, New York

SIE, Series 3, Series 7, Series 24, Series 63, Series 65, Series 66, Series 99TOClean record8 years registeredDCM ADVISORS, LLC

475 PARK AVENUE SOUTH, NEW YORK, NY 10016CRD# 4483939Firm CRD# 126248

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Steven Herbert Roseman · NEW YORK, NY

Registration

CRD #4483939 · DCM ADVISORS, LLC · 8 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DCM ADVISORS, LLC

DCM ADVISORS, LLC

Feb 2023 – Aug 2024

NEW YORK, NY

DCM ADVISORS, LLC

Jul 2018 – Dec 2022

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 24

Series 63

Series 65

Series 66

Series 99TO

Registration record

First registered · July 30, 2018

Years registered · 8

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DCM ADVISORS, LLC

CRD 126248 · SEC 801-112041

AUM

$350M

Regulatory assets under management

Employees

95 client accounts

Services offered by DCM ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Publication of periodicals/newsletters

Market timing services

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

High Net Worth Individuals

View all advisors at DCM ADVISORS, LLC →

Introduction

Speak with Steven

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Steven is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in NEW YORK?

Browse all registered financial advisors in NEW YORK, New York or claim this profile if it's yours.

Browse NEW YORK Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Steven Herbert Roseman offer?

Steven Herbert Roseman specializes in Financial Planning, Investment Management, Wealth Management.

What are Steven Herbert Roseman's credentials?

Steven Herbert Roseman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Steven Herbert Roseman located?

Steven Herbert Roseman is based in NEW YORK, New York, last registered with DCM ADVISORS, LLC.

How does Steven Herbert Roseman charge for services?

Steven Herbert Roseman's firm is compensated through percentage of aum, hourly charges, fixed fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DCM ADVISORS, LLC?

DCM ADVISORS, LLC has approximately 13 employees and manages $350M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →