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Javier Jose De Zengotita

Aton Financial LLC

San Juan, PR

CRD 4917654

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Employer firm

Aton Financial LLC CRD 173070

$601M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Aton Financial Llc

1116 Ponce De Leon Suite 300, San Juan, PR 00907 • United States

Current Registrations

AuthorityCategoryStatusDate
PR RA APPROVED 2019-10-29
  • PR RA
    APPROVED
    Since 2019-10-29

Branch Locations

1116 Ponce De Leon Suite 300, San Juan, PR 00907 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Kovack Securities, Inc. Fort Lauderdale FL 12/2013 10/2019
Kovack Advisors, Inc Fort Lauderdale FL 06/2016 10/2019
Aton Financial Llc San Juan PR 10/2019 Present
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-08
S63 Uniform Securities Agent State Law Examination 2015-08-31
  • S65 Uniform Investment Adviser Law Examination
    2016-01-08
  • S63 Uniform Securities Agent State Law Examination
    2015-08-31
Other Names
  • Javier Joie De Zengotita
  • Javier Jose De Zengotita Rexach

View on SEC IAPD

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