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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

RAYMUNDO GUTIERREZ VALENCIA

Advisor at LPL ENTERPRISE, LLC

RIVERSIDE, CA | IRVINE, CA

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Search this name across graphsid dfx:ria:001df7aa-55bf-131e-d005-dd2268b4b7b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 17, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 14, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 14, 2009
First registration: Feb 17, 2009
Dual registered: yes, broker-dealer
Other names: RAYMUNDO VALENCIA|RAY VALENCIA
IAPD individual key: 5623051

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	RIVERSIDE, CA\|IRVINE, CA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Dec 15, 2022	Nov 14, 2024	no	IRVINE, CA	Previous registration
KOVACK ADVISORS, INC.	Bd affiliated wealth	Jan 17, 2018	Dec 16, 2022	no	Newport Beach, CA\|FT. LAUDERDALE, FL	Previous registration
CSENGE ADVISORY GROUP, LLC	Independent wealth	Sep 2, 2016	Feb 26, 2018	no	Newport beach, CA\|CLEARWATER, FL	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Jul 7, 2015	Jan 19, 2018	no	COSTA MESA, CA	Previous registration
EDWARD JONES	National bd RIA	Feb 17, 2009	Aug 19, 2009	no	ANAHEIM, CA\|ST LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
KOVACK ADVISORS, INC.	PRUCO SECURITIES, LLC	Dec 16, 2022	Dec 15, 2022	-1	Firm change	Ibd to ibd
CSENGE ADVISORY GROUP, LLC	KOVACK ADVISORS, INC.	Feb 26, 2018	Jan 17, 2018	-40	Firm change after gap	Other
FSC SECURITIES CORPORATION	CSENGE ADVISORY GROUP, LLC	Jan 19, 2018	Sep 2, 2016	-504	Firm change after gap	Other
EDWARD JONES	FSC SECURITIES CORPORATION	Aug 19, 2009	Jul 7, 2015	2,148	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 15, 2022 to Nov 14, 2024factForm ADV
→ KOVACK ADVISORS, INC.Registered adviserregistration: previous registration
Jan 17, 2018 to Dec 16, 2022factForm ADV
→ CSENGE ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Sep 2, 2016 to Feb 26, 2018factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 7, 2015 to Jan 19, 2018factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 17, 2009 to Aug 19, 2009factForm ADV

Dated events

Occurred
Dec 16, 2022
Advisor changed firm
Raymundo Gutierrez Valencia left Kovack Advisors, Inc. for Pruco Securities, Llc (registered 2022-12-15)
Form ADVobserved 6 days ago