Raymundo Flores

Current Employers

Employment History

• 01/2020 → 07/2021
  Lpl Financial
  Santa Monica, CA
• 03/2019 → 01/2020
  Unemployed
  Los Angeles, CA
• 08/2017 → 03/2019
  Western Asset Management
  Pasadena, CA
• 06/2015 → 05/2017
  Brown University Office Of Residential Life
  Providence, RI
• 07/2021 → 07/2024
  Northwestern Mutual Investment Services Llc
  Franklin, WI
• 07/2024 → 03/2025
  City National Securities, Inc.
  Los Angeles, CA
• 04/2025 → Present
  Clifford Swan Investment Counselors
  Pasadena, CA

Previous Registrations

• 2024-07-25 → 2025-03-31
  Rbc Securities, Inc
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

(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).

Exams

• S66 Uniform Combined State Law Examination
  2023-10-27
• S63 Uniform Securities Agent State Law Examination
  2021-11-24

Other Names

• Ray Flores
• Raymond Flores