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Detailed Report
STAN MICHAEL DUNGCA
Stan Dungca
CRD#: 6196738
IA
Investment Adviser
B
Broker
MUTUAL ADVISORS, LLCCRD#: 167658 9140 W DODGE ROAD
SUITE 230
OMAHA, NE 68114
MUTUAL SECURITIES, INC.CRD#: 13092 Thousand Oaks, CA
Registration History
20162017201820192020202120222023202420252026IAMUTUAL ADVISORS, LLC (CRD# 167658)2019 - Present (6 years)BMUTUAL SECURITIES, INC. (CRD# 13092)2018 - Present (7 years)BVANDERBILT SECURITIES, LLC (CRD# 5953)2017 - 2018 (<1 year)BFINANCIAL WEST GROUP (CRD# 16668)2016 - 2017 (1 year)
License(s)

State Registrations

B
California 1/17/2019
IA
California 1/29/2019

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
MUTUAL ADVISORS, LLC (CRD#:167658)
9140 W DODGE ROAD SUITE 230, OMAHA, NE 68114
Thousand Oaks, CA
Registered with this firm since 1/29/2019
B
MUTUAL SECURITIES, INC. (CRD#:13092)
Thousand Oaks, CA
Registered with this firm since 3/14/2018
Previous Registration(s)
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B
 08/29/2017 - 02/22/2018 VANDERBILT SECURITIES, LLC (CRD#:5953) WOODBURY, NY
B
 08/18/2016 - 08/30/2017 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
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.