Javier J. De Zengotita

ATON FINANCIAL LLC

San Juan, PR 00926

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CRD#: 4917654

Professional summary

Javier Jose De Zengotita, who also goes by Javier Joie De Zengotita Javi, Javier Jose De Zengotita Rexach, is a registered financial advisor currently at ATON FINANCIAL LLC located in San Juan, .

Javier is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Javier has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Javier Joie De Zengotita Javi | Javier Jose De Zengotita Rexach

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) SMART INSURANCE AGENCY - San Patricio Office Center, 7 Tabonuco Street, Ste. 300, GUAYNABO, PR 00968; FIXED INSURANCE BUSINESS; NON INVESTMENT RELATED; AGENT; SELL FIXED INSURANCE; 5% OF TIME SPENT 2) GLASSY CORP - VILLA CAPARRA TOWER APT 3-C, GUAYNABO, PR 00966; FAST FOOD FRANCHISE TACO MAKER; NON-INVESTMENT RELATED; SUPERVISE DAILY NUMBERS OF THE TWO STORES, SUPERVISE THE MANAGER OF EACH STORE THROUGH DAILY REPORTS; 20% OF TIME SPENT 3) DEJETO FOOD CORP, CALLE ALAMBRA 4-7 URB. TORRIMAR GUAYNABO, PR 00966; FOOD BUSINESS, MARCO'S PIZZA; TREASURER; DEAL WITH SALES; NON-INVESTMENT RELATED; 15% OF TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Javier Jose De Zengotita's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 29, 2019 - Present

ATON FINANCIAL LLC

Office #1: 1590 Ponce De Leon Suite 206, San Juan, PR 00926

RIA

CRD#: 173070

San Juan, PR

Past

June 29, 2016 - October 21, 2019

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

Guaynabo, PR

Past

December 11, 2013 - October 21, 2019

KOVACK SECURITIES INC.

CRD#: 44848

GUAYNABO, PR

Past

April 4, 2008 - November 8, 2013

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

June 2, 2006 - March 10, 2008

SANTANDER SECURITIES LLC

CRD#: 41791

LEVITTOWN, PR

Past

November 10, 2005 - January 4, 2007

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

SAN JUAN, PR

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".

ATON FINANCIAL LLC

CRD#: 173070 / SEC#: 801-112925

RIA

Registered Investment Advisory firm - (4/10/2018 Approved)

Puerto Rico

Registered Investment Advisory firm - (4/10/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Puerto Rico
(10/29/2019)

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

IAR

Series 65

Date: 1/8/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2005

General Securities Representative Examination

Current Firm

ATON FINANCIAL LLC

CRD#: 173070 / SEC#: 801-112925

RIA

Registered Investment Advisory firm - (4/10/2018 Approved)

Puerto Rico

Registered Investment Advisory firm - (4/10/2018 Terminated)

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Contact information

Main Address

1590 Ponce De Leon Suite 206, San Juan, PR 00926

Mailing Address

Phone number

(787) 725-6070

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ATON FINANCIAL LLC BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	398
AUM (Assets Under Management)	$ 469,132,000

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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Javier J. De Zengotita

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Javier Jose De Zengotita's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

ORIENTAL FINANCIAL SERVICES LLC

Primary Firm SEC Registration

ATON FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2016

Series 63

Date: 8/31/2015

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2005

Current Firm

ATON FINANCIAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ATON FINANCIAL LLC

TRUST BUT VERIFY

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