MM
Mark G. Mundy
AMERITAS ADVISORY SERVICES
Dallas, TX 75252
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CRD#: 1898549
MM
Professional summary
Mark Guy Mundy is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Dallas, Texas and AMERITAS INVESTMENT COMPANY, LLC located in Dallas, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
LICENSED AS AN INDEPENDENT INSURANCE AGENT TO SELL FIXED INSURANCE PRODUCTS, INCLUDING LIFE SETTLEMENTS * KNON RADIO 89.3; 11311 N CENTRAL EXPY, DALLAS TX; NON-INV REL; RADIO STATION; VOLUNTEER; START DATE=11/1992; HRS/MO=8; TRADING HRS/MO=0; COUNTRY MUSIC DISK JOCKEY TWO HOURS/WEEK FRIDAYS 4:00-6:00PM * CHASE'S PLACE; 620 N COLT RD STE 2176, RICHARDSON TX; NON-INV REL; SCHOOL FOR SPECIAL NEEDS CHILDREN; BOARD MEMBER; START DATE=2005; HRS/MO=1; TRADING HRS/MO=1; BOARD OF DIRECTORS * PLANNED BENEFITS; SAME AS OSJ BRANCH; INV REL; REFER CLIENTS THAT NEED HEALTH INSURANCE; START DATE=01/2004; HRS/MO=1; TRADING HRS/MO=1; REFER MY CLIENTS THAT NEED HEALTH INSURANCE TO PLANNED BENEFITS * DALLAS FIN WHOLESALERS; 7512 SAN JACINTO PLACE #100, PLANO TX; INV REL; INSURANCE BROKER SERV; BROKER; START DATE=2009; HRS/MO=0; TRADING HRS/MO=0; IF I HAVE A CLIENT THAT NEEDS A FIXED ANNUITY CONTRACT I'LL CALL TO SEE IF THEY HAVE ANYTHING THAT MIGHT WORK * BARMU PRODUCTIONS LLC; SAME AS RESIDENCE; NON-INV REL; SET THIS UP SO WE COULD PURCHASE GROUP HEALTH INSURANCE AND MAKE INVESTMENTS AS JOINT PROPERTY; PRESIDENT; START DATE=03/2008; HRS/MO=1; TRADING HRS/MO=1; ANNUAL MEETING * FOSTER FINANCIAL; SAME AS OSJ BRANCH; INV REL; FINANCIAL PLANNING; IAR; START DATE=09/2014; HRS/MO=40; TRADING HRS/MO=40; FINANCIAL PLANNING AND SECURITY SALES * Canvas Financial; same as branch; inv rel; new organization with AIC effective 8/1/2018 that combines six different firms that are already with AIC, shell dba used for marketing and consolidation purposes; Agent; start date=08/2018; hrs/mo=08/2018; hrs/mo=40; trading hrs/mo=40; agent for LLC under DBA shell * Cobalt Medical Opportunity Fund III, LP: 14911 Quorum Dr STE 380 Dallas TX 75254; non-inv rel; investor; start date=11/2014; end date = 11/2021; Hrs/mo=0; partnership to make debt and equity investments in entities owning interest in healthcare related properties.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Guy Mundy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 1, 2021 - Present
AMERITAS ADVISORY SERVICES, LLC
Office #1: 17300 Preston Rd Ste 260, Dallas, TX 75252RIA
CRD#: 317245
Dallas, TX
Current
January 5, 2004 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #2: 17300 Preston Rd Ste 260, Dallas, TX 75252BD
CRD#: 14869
DALLAS, TX
Past
January 31, 2006 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Waxahachie, TX
Past
September 19, 1990 - January 14, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
September 17, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 27, 1990 - January 14, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DALLAS, TX
Past
August 21, 1989 - August 27, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
August 21, 1989 - August 27, 1990
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(4/10/2017)
RR
California(1/5/2004)
RR
Colorado(8/15/2007)
RR
Florida(4/6/2021)
RR
Mississippi(5/15/2018)
RR
Missouri(1/2/2015)
RR
New Mexico(2/9/2023)
RR
North Carolina(1/8/2004)
RR
Pennsylvania(4/2/2025)
RR
Texas(1/5/2004)
IAR
Texas(11/1/2021)
RR
Washington(6/7/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5900 O Street, Lincoln, NE 68510
Mailing Address
Phone number
(800) 335-9858
Established
Firm type
Fiscal year end
# of Employees
560
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245Dallas, TX 75252TRUST BUT VERIFY
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