DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Raymundo Gutierrez Valencia
Feed of 09/14/2026
Also filed as Raymundo Valencia
At current firm
1 y
since Nov 14, 2024
In the industry
17 y
since Feb 14, 2009 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Enterprise, LLC BD affiliated currentsince Nov 14, 2024 · Riverside, Ca
- Pruco Securities, LLC no RAUMDec 15, 2022 to Nov 14, 2024 · Irvine, Ca
- Kovack Advisors, Inc. BD affiliatedJan 17, 2018 to Dec 16, 2022 · Newport Beach, Ca
- Csenge Advisory Group, LLC independent RIASep 2, 2016 to Feb 26, 2018 · Newport Beach, Ca
- Fsc Securities Corporation formerJul 7, 2015 to Jan 19, 2018 · Costa Mesa, Ca
- Edward Jones national BDFeb 17, 2009 to Aug 19, 2009 · Anaheim, Ca
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- Kovack Advisors, Inc. to Pruco Securities, LLCleft Dec 16, 2022, registered Dec 15, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- Csenge Advisory Group, LLC to Kovack Advisors, Inc.left Feb 26, 2018, registered Jan 17, 2018 (-40 days) · Other
- Fsc Securities Corporation to Csenge Advisory Group, LLCleft Jan 19, 2018, registered Sep 2, 2016 (-504 days) · Other
- Edward Jones to Fsc Securities Corporationleft Aug 19, 2009, registered Jul 7, 2015 (2148 days) · Other
Signals
- Raymundo Gutierrez Valencia left Kovack Advisors, Inc. for Pruco Securities, Llc (registered 2022-12-15)Dec 16, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address