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Rafael J. Siero

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CRD#: 2759065
RS

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.

Rafael Jose Siero was a registered financial advisor .

Rafael is a previously registered financial advisor and started their career in finance in 1996. Rafael had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 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.
The advisor shows no other business activity.

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

May 30, 2002 - November 9, 2006

AMERICAN INVESTORS COMPANY

RIA
CRD#: 38
MARTINEZ, CA
Past

May 30, 2002 - November 9, 2006

AMERICAN INVESTORS COMPANY

BD
CRD#: 38
MARTINEZ, CA
Past

April 20, 2001 - May 28, 2002

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

March 16, 1999 - April 19, 2001

AMERICAN INVESTORS COMPANY

BD
CRD#: 38
SAN RAMON, CA
Past

February 4, 1999 - February 26, 1999

AMERICAN INVESTORS COMPANY

BD
CRD#: 38
Past

June 10, 1998 - February 10, 1999

BAYSIDE FINANCIAL, LLC

BD
CRD#: 44211
WALNUT CREEK, CA
Past

August 5, 1996 - October 23, 1997

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL

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
IAR
Series 65
Date: 9/28/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/2/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/2001
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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