Mark A. Gundy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Allan Gundy was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1984. Mark had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2008 - July 7, 2008
TORREY PINES SECURITIES, INC.
July 8, 1997 - January 8, 2008
A. G. EDWARDS & SONS, INC.
April 18, 1996 - January 8, 2008
A. G. EDWARDS & SONS, INC.
March 12, 1992 - March 15, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 29, 1984 - March 27, 1992
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TORREY PINES SECURITIES, INC.
CRD#: 17120 / SEC#: , 8-35004
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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