Raymundo Gutierrez Valencia

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2015 → 12/2022
  Fsc Securities Corporation
  Newport Beach, CA
• 06/2015 → 12/2022
  Integrity Wealth Management
  Newport Beach, CA
• 10/2015 → 01/2018
  Csenge Advisory Group
  Newport Beach, CA
• 01/2018 → 12/2022
  Kovack Securities, Inc.
  Fort Lauderdale, FL
• 01/2018 → 12/2022
  Kovack Advisors, Inc
  Fort Lauderdale, FL
• 12/2022 → 11/2024
  Pruco Securities, Llc.
  Irvine, CA
• 12/2022 → Present
  The Prudential Insurance Company Of America
  Irvine, CA
• 11/2024 → Present
  Lpl Enterprise, Llc
  Irvine, CA

Previous Registrations

• 2022-12-15 → 2024-11-14
  Pruco Securities, Llc.
  Irvine, CA
• 2018-01-17 → 2022-12-16
  Kovack Advisors, Inc.
  Newport Beach, CA
  Ft. Lauderdale, FL
• 2016-09-02 → 2018-02-26
  Csenge Advisory Group, Llc
  Newport Beach, CA
  Clearwater, FL
• 2015-07-07 → 2018-01-19
  Fsc Securities Corporation
  Costa Mesa, CA
• 2009-02-17 → 2009-08-19
  Edward Jones
  Anaheim, CA
  St Louis, MO

Other Businesses

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

Exams

• S66 Uniform Combined State Law Examination
  2009-02-14

Other Names

• Raymundo Valencia
• Ray Valencia