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Cynthia I. Bautista

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CRD#: 2828754
CB

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.

Cynthia Ibanez Bautista, who also goes by Cynthia Cabaluna Ibanez, was a registered financial professional .

Cynthia is a previously registered financial professional and started their career in finance in 1997. Cynthia had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cynthia Cabaluna Ibanez

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

April 23, 2013 - March 30, 2021

AMERICAN INVESTORS COMPANY

BD
CRD#: 38
FREMONT, CA
Past

March 12, 2013 - March 30, 2021

AMERICAN INVESTORS COMPANY

RIA
CRD#: 38
FREMONT, CA
Past

March 17, 2010 - March 14, 2011

GLOBAL ASSET MANAGEMENT GROUP

RIA
CRD#: 150904
WINTER SPRINGS, FL
Past

May 15, 2007 - October 15, 2009

FINANCIAL LEADERSHIP ADVISORS, INC.

RIA
CRD#: 139864
FREMONT, CA
Past

April 12, 2002 - October 2, 2003

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

March 13, 1997 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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: 7/6/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/14/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/22/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/3/1998
Investment Company Products/Variable Contracts 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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