RA
Raymond G. Arias
KOVACK ADVISORS
WESLEY CHAPEL, FL 33545
Some features on this profile are disabled
CRD#: 4428375
RA
Professional summary
Raymond Guillermo Arias is a registered financial advisor currently at KOVACK ADVISORS, INC. located in Wesley Chapel, Florida and KOVACK SECURITIES INC. located in Wesley Chapel, Florida.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Raymond has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) DBA NAME RAYMOND ARIAS ADVISOR LLC.-SECURITIES AND FIXED INSURANCE. 4HRS/D DURING REG MRKT HRS, 4HRS/W DURING NON-MRKT HRS. 2) AK-RAY CORP. INSURANCE AND FIXED PRODUCT RELATED. 5815 Argerian Drive, Suite 101, Wesley Chapel, FL 34453. 2HRS/D DURING REG MRKT HRS, 4HRS/W DURING NON-MRKT HRS. 3) EDUCATIONAL, FINANCIAL, TECH & HEALTHCARE ROAD SHOW - 5815 ARGERIAN DR., #101, Wesley Chapel, FL 33545; EDUCATION, PLANNING AND MANAGEMENT WITH REGARDS TO INDIVIDUALS' DIGITAL & FINANCIAL ESTATE; NON-INVESTMENT RELATED; EDUCATOR/PRESENTER; PRESENTER OF HEALTH, FINANCIAL AND TECHNOLOGY RELATED INFORMATION WITH REGARDS TO AN ESTATE CONDUCTED AT CHURCHES, COMMUNITIES AND LIBRARIES; 1% OF TIME SPENT 4) MINISTER OF MARRIAGE CEREMONIES - 28435 CORBARA PLACE, FL; NON-INVESTMENT RELATED; OFFICIATE MARRIAGE AND SIGN LICENSES; MINISTER; LESS THAN 1% OF TIME SPENT.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Guillermo Arias's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 23, 2012 - Present
KOVACK ADVISORS, INC.
Office #1: 5815 Argerian Drive Suite 101, Wesley Chapel, FL 33545RIA
CRD#: 140808
WESLEY CHAPEL, FL
Current
July 3, 2012 - Present
KOVACK SECURITIES INC.
Office #1: 5815 Argerian Drive Suite 101, Wesley Chapel, FL 33545BD
CRD#: 44848
Wesley Chapel, FL
Past
August 8, 2011 - June 20, 2012
BROOKSTONE SECURITIES, INC.
RIA
CRD#: 13366
WESLEY CHAPEL, FL
Past
July 26, 2011 - June 22, 2012
BROOKSTONE SECURITIES, INC.
BD
CRD#: 13366
WESLEY CHAPEL, FL
Past
March 9, 2009 - July 29, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
WESLEY CHAPEL, FL
Past
February 20, 2009 - July 29, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
WESLEY CHAPEL, FL
Past
March 8, 2007 - February 27, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
WESLEY CHAPEL, FL
Past
September 22, 2003 - February 27, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
WESLEY CHAPEL, FL
Past
July 16, 2003 - October 2, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
March 1, 2002 - July 15, 2003
BROOKLIGHT PLACE SECURITIES, INC.
BD
CRD#: 15764
FOUNTAIN HILLS, AZ
Past
August 8, 2001 - December 31, 2001
IAC SECURITIES, INC.
BD
CRD#: 14081
TINLEY PARK, IL
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".
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
Registered Investment Advisory firm - (4/21/2004 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/20/2012)
RR
Arizona(7/15/2020)
RR
Arkansas(9/24/2013)
RR
California(7/3/2012)
RR
Connecticut(9/29/2020)
RR
Delaware(8/20/2021)
RR
Florida(7/3/2012)
IAR
Florida(7/23/2012)
RR
Georgia(8/20/2012)
RR
Illinois(2/4/2014)
RR
Indiana(1/5/2018)
RR
Kentucky(8/20/2021)
RR
Maine(7/31/2013)
RR
Maryland(7/3/2012)
RR
Massachusetts(4/17/2014)
RR
Michigan(7/3/2012)
RR
Minnesota(11/29/2023)
RR
Nevada(1/11/2022)
RR
New Hampshire(7/31/2013)
RR
New Jersey(3/22/2022)
RR
New York(4/23/2014)
RR
North Carolina(1/7/2018)
RR
Ohio(7/3/2012)
RR
Pennsylvania(3/25/2014)
RR
Rhode Island(1/17/2018)
RR
South Carolina(9/18/2015)
RR
Tennessee(7/3/2012)
RR
Texas(8/20/2012)
RR
Vermont(7/3/2012)
RR
Virginia(10/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
Registered Investment Advisory firm - (4/21/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
Phone number
(954) 782-4771
Established
Firm type
Fiscal year end
# of Employees
330
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,809 |
| AUM (Assets Under Management) | $ 5,533,506,324 |
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
KOVACK ADVISORS, INC.
CRD#: 140808Wesley Chapel, FL 33545TRUST BUT VERIFY
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