RF
Raymundo Flores
CLIFFORD SWAN INVESTMENT COUNSELORS
Pasadena, CA 91105-1965
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CRD#: 7216779
RF
Professional summary
Raymundo Flores, who also goes by Ray Flores, Raymond Flores, is a registered financial advisor currently at CLIFFORD SWAN INVESTMENT COUNSELORS located in Pasadena, California.
Raymundo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Raymundo has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ray Flores | Raymond Flores
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) Name of Entity: MVP Tile & Marble Inc.; Non-investment related; Address: 1145 Wilkins Ave. Los Angeles, CA 90023; Nature of OBA: MVP Tile & Marble Inc. is a C-54 licensed tile contractor and is incorporated in the state of California; Position/Title/Relationship: Officer; Start Date: 08/15/2022; Time devoted: 5 hours per month; 0 during securities trading hours ; Duties: As Treasurer/CFO, I will assist with tasks related to recordkeeping, payroll processing, and ad-hoc administrative requests. All owners/officers of MVP Tile & Marble Inc. are my immediate family members (my dad and brothers).
CRS (Client Relationship Summary) - RIA
Click below to view Raymundo Flores'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
June 30, 2025 - Present
CLIFFORD SWAN INVESTMENT COUNSELORS
Office #1: 177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965RIA
CRD#: 108033
Pasadena, CA
Past
July 25, 2024 - March 31, 2025
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
LOS ANGELES, CA
Past
July 25, 2024 - March 31, 2025
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
LOS ANGELES, CA
Past
October 21, 2021 - July 8, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
CS
CLIFFORD SWAN INVESTMENT COUNSELORS
CLIFFORD ASSOCIATES | CLIFFORD SWAN INVESTMENT COUNSELORS | CLIFFORD SWAN INVESTMENT COUNSEL LLC | CLIFFORD SWAN INVESTMENT COUNSEL | CLIFFORD SWAN | CLIFFORD ASSOCISTES LLC | CLIFFORD ASSOCIATES LLC
CRD#: 108033 / SEC#: 801-56675
RIA
Registered Investment Advisory firm - (7/27/1999 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.Highlighted states indicate IAR registrations
IAR
California(6/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/21/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CS
CLIFFORD SWAN INVESTMENT COUNSELORS
CLIFFORD ASSOCIATES | CLIFFORD SWAN INVESTMENT COUNSELORS | CLIFFORD SWAN INVESTMENT COUNSEL LLC | CLIFFORD SWAN INVESTMENT COUNSEL | CLIFFORD SWAN | CLIFFORD ASSOCISTES LLC | CLIFFORD ASSOCIATES LLC
CRD#: 108033 / SEC#: 801-56675
RIA
Registered Investment Advisory firm - (7/27/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965
Mailing Address
Phone number
(626) 792-2228
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,522 |
| AUM (Assets Under Management) | $ 4,143,559,319 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 04/15/2024 | ||
| 08/10/2023 |
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.
