Steven Boero has been Chief Compliance Officer and Owner and Partner of Rubicon Advisors, GP since March 2015, is a control person of the firm and directly owns between 50% and 75% of it.
Rubicon Advisors, GP is a Redding, CA firm with $421M under management, 1,391 clients and 19 advisers across 6 offices, as of its September 2026 filing.
Steven Boero’s longest registration is the current one, 19 years at LPL Financial LLC since 2006. Before joining Rubicon Advisors, GP in 2015, Steven Boero was registered through Valic Financial Advisors, Inc.
- LPL Financial LLCAlso current– present · 19 yearsRedding, CA · Adviser representative and broker · Firm CRD 6413
- Valic Financial Advisors, Inc.– · 1 yearSan Mateo, CA · Adviser representative · Firm CRD 42803
Investment adviser representative registrations
Steven Boero is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from March 2015; the most recent is Texas, in September 2021.
- CaliforniaSince 17 March 2015
- TexasResidentSince 10 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 22TO | Direct Participation Programs Representative Examination | 2 January 2023 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 March 2003 |
| Series 51 | Municipal Fund Securities Principal Examination | 18 March 2003 |
| Series 24 | General Securities Principal Examination | 19 December 2001 |
| Series 7 | General Securities Representative Examination | 21 November 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 June 1997 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 11 December 1987 |
| Series 1 | Registered Representative Examination | 22 January 1979 |
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Registered Representative Examination
- Full name
- Steven Paul Boero
- CRD
- 862282
- Firm
- Rubicon Advisors, GP · CRD 174447
- Role
- Chief Compliance Officer and Owner and Partner
- Office
- 1640 EAST CYPRESS, SUITE A, Redding, CA 96002
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1980
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Steven Boero work?
Steven Boero has been Chief Compliance Officer and Owner and Partner of Rubicon Advisors, GP since March 2015, and is a control person of the firm.
Is Steven Boero a financial advisor?
Yes. Steven Boero has a current investment-adviser registration in California and Texas, through Rubicon Advisors, GP since March 2015.
How many years of experience does Steven Boero have?
Steven Boero has 45 years in the financial industry, since December 1980, across 3 adviser firms.
What exams has Steven Boero passed?
Steven Boero has passed 9 licensing exams: the Series 1, Series 26, Series 63, Series 7, Series 24, Series 51, Series 66, Series 22TO and Series 6TO. The earliest, the Series 1, was passed in January 1979. FINRA credited Steven Boero with the SIE, which began in October 2018.
Where did Steven Boero work before Rubicon Advisors, GP?
Before Rubicon Advisors, GP, Steven Boero was registered through Valic Financial Advisors, Inc., March 2003 to December 2004.
Where is Steven Boero based?
Steven Boero’s registered office is in Redding, CA.
Is Steven Boero registered with FINRA?
Yes. Steven Boero has a current broker registration, under CRD 862282.
Source: FINRA BrokerCheck
How can I verify Steven Boero’s record?
Search CRD 862282 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Steven Boero’s full registration record.