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JK

John W. Kenny

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CRD#: 268043
JK

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.

John William Kenny was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1973. John had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
JOHN W. KENNY, NON-INVESTMENT RELATED, 24121 WINE COUNTRY CT., SONOMA, CA 95476, INSURANCE SALES, INDEPENDENT INSURANCE AGENT, START DATE APPROX. 20 YRS. AGO, DOES AS NEEDED, WORKS WITH INSURANCE AND ANNUITIES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 29, 1998 - December 31, 2023

AMERICAN INVESTORS COMPANY

RIA
CRD#: 38
SONOMA, CA
Past

September 19, 1977 - December 31, 2023

AMERICAN INVESTORS COMPANY

BD
CRD#: 38
SONOMA, CA
Past

January 17, 1977 - October 23, 1977

LPL FINANCIAL LLC

BD
CRD#: 6413
Past

August 6, 1973 - February 24, 1977

THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY

BD
CRD#: 647
Past

June 15, 1973 - January 27, 1977

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

April 6, 1973 - June 15, 1973

CAPITAL SECURITIES CO

BD
CRD#: 1000005

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".
AMERICAN INVESTORS COMPANY
AMERICAN INVESTORS COMPANY
AMERICAN INVESTORS CO | L.S.Y., INC | L. S. Y., INC. | AMERICAN INVESTORS COMPANY

CRD#: 38 / SEC#: 801-57838, 8-17613

RIA
Registered Investment Advisory firm - SEC (8/22/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 2/19/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/21/1973
General Securities Principal Examination

Current Firm

AMERICAN INVESTORS COMPANY
AMERICAN INVESTORS COMPANY
AMERICAN INVESTORS CO | L.S.Y., INC | L. S. Y., INC. | AMERICAN INVESTORS COMPANY

CRD#: 38 / SEC#: 801-57838, 8-17613

RIA
Registered Investment Advisory firm - SEC (8/22/2000 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
12667 Alcosta Blvd., Suite 160, San Ramon, CA 94583
Mailing Address
P. O. Box 1307, San Ramon, CA 94583
Phone number
(925) 866-2882
Established
California since 03/02/1973
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
30

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

AIC FORM ADV PART 2A - 6/26/25 (6/26/2025)

Direct owners and executive officers

NamePositionCRD#
LEE, LARRY CHAIYACHAIRMAN OF THE BOARD305344
YEE, CLARENCEPRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER, TREASURER, SECRETARY, PFO, POO474356
COCHRAN, NICHOLAS COWLESVICE-PRESIDENT713570

Regulatory assets under management

Total Number of Accounts1,530
AUM (Assets Under Management)$ 578,062,390

Disclosures

Regulatory Event3
Arbitration2

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.

Company Information

AMERICAN INVESTORS COMPANY

AMERICAN INVESTORS COMPANY

CRD#: 38

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