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Detailed Report
RAYMUNDO GUTIERREZ VALENCIA
RAY VALENCIA, RAYMUNDO VALENCIA
CRD#: 5623051
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 3333 MICHELSON DRIVE
SUITE 820
IRVINE, CA 92612
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2015 - 2018 (2 years)2 FIRMS2018 - 2022 (4 years)2 FIRMS2022 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BSECURITIES SERVICE NETWORK, INC. (CRD# 13318)2011 - 2015 (3 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2011 - 2011 (<1 year)IACSENGE ADVISORY GROUP, LLC (CRD# 131167)2016 - 2018 (1 year)
License(s)

State Registrations

B
Arizona 11/14/2024
B
New Jersey 11/14/2024
B
California 11/14/2024
B
Tennessee 11/14/2024
IA
California 11/14/2024
B
Washington 11/14/2024
B
Idaho 12/4/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
3333 MICHELSON DRIVE SUITE 820, IRVINE, CA 92612
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
3333 MICHELSON DRIVE SUITE 820, IRVINE, CA 92612
Registered with this firm since 11/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/15/2022 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) IRVINE, CA
B
 12/15/2022 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) IRVINE, CA
IA
 01/17/2018 - 12/16/2022 KOVACK ADVISORS, INC. (CRD#:140808) Newport Beach, CA
B
 01/17/2018 - 12/16/2022 KOVACK SECURITIES INC. (CRD#:44848) Newport Beach, CA
IA
 09/02/2016 - 02/26/2018 CSENGE ADVISORY GROUP, LLC (CRD#:131167) Newport beach, CA
IA
 07/07/2015 - 01/19/2018 FSC SECURITIES CORPORATION (CRD#:7461) COSTA MESA, CA
B
 07/07/2015 - 01/19/2018 FSC SECURITIES CORPORATION (CRD#:7461) COSTA MESA, CA
B
 10/12/2011 - 04/29/2015 SECURITIES SERVICE NETWORK, INC. (CRD#:13318) LAGUNA BEACH, CA
B
 01/27/2011 - 06/30/2011 NATIONAL PLANNING CORPORATION (CRD#:29604) IRVINE, CA
IA
 02/17/2009 - 08/19/2009 EDWARD JONES (CRD#:250) ANAHEIM, CA
B
 02/04/2009 - 08/19/2009 EDWARD JONES (CRD#:250) ANAHEIM, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.