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Detailed Report
MARK GUY MUNDY
CRD#: 1898549
IA
Investment Adviser
B
Broker
AMERITAS ADVISORY SERVICES, LLCCRD#: 317245 Dallas, TX
AMERITAS INVESTMENT COMPANY, LLCCRD#: 14869 DALLAS, TX
Registration History
199019952000200520102015202020252 FIRMS1989 - 1990 (1 year)2 FIRMS1990 - 2004 (13 years)IAAMERITAS ADVISORY SERVICES, LLC (CRD# 317245)2021 - Present (3 years)BAMERITAS INVESTMENT COMPANY, LLC (CRD# 14869)2004 - Present (21 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1990 - 2000 (9 years)IAAMERITAS ADVISORY SERVICES (CRD# 14869)2006 - 2021 (15 years)
License(s)

State Registrations

B
Arkansas 4/10/2017
B
New Mexico 2/9/2023
B
California 1/5/2004
B
North Carolina 1/8/2004
B
Colorado 8/15/2007
B
Texas 1/5/2004
B
Florida 4/6/2021
IA
Texas 11/1/2021
B
Mississippi 5/15/2018
B
Washington 6/7/2017
B
Missouri 1/2/2015

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
AMERITAS ADVISORY SERVICES, LLC (CRD#:317245)
Dallas, TX
17300 Preston Rd Ste 260, Dallas, TX 75252
Registered with this firm since 11/1/2021
B
AMERITAS INVESTMENT COMPANY, LLC (CRD#:14869)
DALLAS, TX
17300 PRESTON RD STE 260, DALLAS, TX 75252
Registered with this firm since 1/5/2004
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/31/2006 - 11/01/2021 AMERITAS ADVISORY SERVICES (CRD#:14869) Waxahachie, TX
IA
 08/27/1990 - 01/14/2004 AXA ADVISORS, LLC (CRD#:6627) DALLAS, TX
B
 09/19/1990 - 01/14/2004 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 09/17/1990 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
B
 08/21/1989 - 08/27/1990 EQUICO SECURITIES, INC. (CRD#:6627)
B
 08/21/1989 - 08/27/1990 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039)
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.