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Mark Guy Mundy

AMERITAS ADVISORY SERVICES
Dallas, TX
·CRD# 1898549·37 years registered

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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

37 years registered in the securities industry

Current & Past Employments

Current

AMERITAS ADVISORY SERVICES, LLCCurrent·CRD# 317245
RIA
1. 17300 Preston Rd Ste 260, Dallas, TX 752522. Ranchos De Taos, NM
November 1, 2021 - Present
AMERITAS INVESTMENT COMPANY, LLCCurrent·CRD# 14869
BD
1. Dallas, TX2. 17300 Preston Rd Ste 260, Dallas, TX 75252
January 5, 2004 - Present

Past

AMERITAS INVESTMENT COMPANY, LLCPast·CRD# 14869
RIA
Waxahachie, TX
January 31, 2006 - November 1, 2021
EQUITABLE ADVISORS, LLCPast·CRD# 6627
BD
New York, NY
September 19, 1990 - January 14, 2004
EQUITABLE ADVISORS, LLCPast·CRD# 6627
RIA
Dallas, TX
August 27, 1990 - January 14, 2004
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATESPast·CRD# 4039
BD
New York, NY
September 17, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATESPast·CRD# 4039
BD
August 21, 1989 - August 27, 1990
EQUITABLE ADVISORS, LLCPast·CRD# 6627
BD
August 21, 1989 - August 27, 1990

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Current Firm

AA
AMERITAS ADVISORY SERVICES, LLC

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - SEC (1/13/1998 Approved)

Contact Information

Main Address

5900 O Street, Lincoln, NE 68510

Phone Number

(800) 335-9858

# of Employees

797

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GALAXY II WRAP FEE BROCHURE (10/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

45,299

AUM (Assets Under Management)

$13,746,443,625

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2026Cover PageReport
10/28/2025Cover PageReport
07/23/2024Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 * 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.

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1998About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 1989About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Mark Guy Mundy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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