RV
Raymundo G. Valencia
LPL ENTERPRISE
IRVINE, CA 92612
Some features on this profile are disabled
CRD#: 5623051
RV
Professional summary
Raymundo Gutierrez Valencia, who also goes by Ray Valencia, Raymundo Valencia, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Irvine, California.
Raymundo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Raymundo has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray Valencia | Raymundo Valencia
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) 11/14/2024-Ray Valencia-Health Agent-Non-Variable Insurance-Inv related-At Irvine, CA-Start date 02/01/2009-4hrs/mth-4hrs/mth during trading 2) 11/14/2024-Valencia Wealth Management LLC-Owner-Business Entity For Tax/Investment Purposes Only-Inv related-At Irvine, CA-Start date 12/20/2019-2hrs/mth-2hrs/mth during trading 3) 11/14/2024-Insurance Agent-Life Insurance, Long Term Care, Disability, and Health Agent-Non-Variable Insurance-Inv related-At Irvine, CA-Start date 02/01/2009-80hrs/mth-80hrs/mth during trading 4) 06/24/2025-Kept Private Wealth-Financial Planner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 06/23/2025-173hrs/mth-140hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Raymundo Gutierrez Valencia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raymundo Gutierrez Valencia'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3333 Michelson Drive Suite 820, Irvine, CA 92612RIA
BD
CRD#: 8733
IRVINE, CA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3333 Michelson Drive Suite 820, Irvine, CA 92612RIA
BD
CRD#: 8733
IRVINE, CA
Past
December 15, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
IRVINE, CA
Past
December 15, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
IRVINE, CA
Past
January 17, 2018 - December 16, 2022
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Newport Beach, CA
Past
January 17, 2018 - December 16, 2022
KOVACK SECURITIES INC.
BD
CRD#: 44848
Newport Beach, CA
Past
September 2, 2016 - February 26, 2018
CSENGE ADVISORY GROUP, LLC
RIA
CRD#: 131167
Newport beach, CA
Past
July 7, 2015 - January 19, 2018
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
COSTA MESA, CA
Past
July 7, 2015 - January 19, 2018
FSC SECURITIES CORPORATION
BD
CRD#: 7461
COSTA MESA, CA
Past
October 12, 2011 - April 29, 2015
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
LAGUNA BEACH, CA
Past
January 27, 2011 - June 30, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
IRVINE, CA
Past
February 17, 2009 - August 19, 2009
EDWARD JONES
RIA
CRD#: 250
ANAHEIM, CA
Past
February 4, 2009 - August 19, 2009
EDWARD JONES
BD
CRD#: 250
ANAHEIM, CA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Arizona(11/14/2024)
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Idaho(12/4/2024)
RR
Nevada(7/17/2025)
RR
New Jersey(11/14/2024)
RR
Pennsylvania(7/17/2025)
RR
Tennessee(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
