Dennis I. Weiss

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CRD#: 462338

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.

Dennis I Weiss was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1967. Dennis had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 000 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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

March 30, 2006 - May 27, 2020

AMERICAN INVESTORS COMPANY

RIA

CRD#: 38

GERMANTOWN, TN

Past

June 12, 2002 - May 27, 2020

AMERICAN INVESTORS COMPANY

CRD#: 38

GERMANTOWN, TN

Past

November 13, 1996 - June 12, 2002

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

December 8, 1992 - November 19, 1996

PRINCETON EQUITY SECURITIES, INC.

CRD#: 15374

NEW YORK, NY

Past

December 13, 1989 - November 27, 1992

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

November 24, 1989 - December 8, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 19, 1989 - January 1, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 16, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 27, 1981 - May 14, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 19, 1979 - May 23, 1981

CORNERSTONE FINANCIAL SERVICES, INC.

CRD#: 953

Past

February 24, 1978 - October 6, 1979

MORGAN STANLEY DW INC.

CRD#: 7556

Past

May 3, 1974 - February 24, 1978

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

September 24, 1973 - June 11, 1974

THOMSON & MCKINNIN AUCHINCLOSS KOHLMEYER INC

CRD#: 1000003

Past

May 12, 1967 - November 2, 1973

KOHLMEYER & CO.

CRD#: 494

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 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)

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.

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.

Exams

State Security Law Exam

Series 63

Date: 5/17/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 000

Date: 8/24/1965

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 4/13/1965

Registered Representative Examination

Current Firm

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)

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

SEC notice filing (12 States and Territories)

FINRA licenses (38 States and Territories)

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

Name	Position	CRD#
LEE, LARRY CHAIYA	CHAIRMAN OF THE BOARD	305344
YEE, CLARENCE	PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER, TREASURER, SECRETARY, PFO, POO	474356
COCHRAN, NICHOLAS COWLES	VICE-PRESIDENT	713570

Regulatory assets under management

Total Number of Accounts	1,530
AUM (Assets Under Management)	$ 578,062,390

Disclosures

Regulatory Event	3
Arbitration	2

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

Dennis I. Weiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN INVESTORS COMPANY

GROVE POINT INVESTMENTS, LLC

PRINCETON EQUITY SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

LEHMAN BROTHERS INC.

CORNERSTONE FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

REYNOLDS SECURITIES, INC.

THOMSON & MCKINNIN AUCHINCLOSS KOHLMEYER INC

KOHLMEYER & CO.

Primary Firm SEC Registration

AMERICAN INVESTORS COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 5/17/1989

SIE

Date: 10/1/2018

Series 5

Date: 10/17/1981

Series 000

Date: 8/24/1965

Series 1

Date: 4/13/1965

Current Firm

AMERICAN INVESTORS COMPANY

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERICAN INVESTORS COMPANY

TRUST BUT VERIFY

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