Robert E. Mundy
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.
Robert Eugene Mundy, who also goes by Bob Mundy, Robert E Mundy, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - December 31, 2016
KESTRA ADVISORY SERVICES, LLC
June 26, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
September 8, 1997 - December 31, 2016
KESTRA INVESTMENT SERVICES, LLC
March 6, 1997 - September 15, 1997
WOODBURY FINANCIAL SERVICES, INC.
July 22, 1991 - July 30, 1997
CETERA WEALTH SERVICES, LLC
March 9, 1983 - July 29, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
December 10, 1981 - January 18, 1983
WZW FINANCIAL SERVICES, INC.
March 4, 1969 - August 6, 1981
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Series 1
Date: 2/27/1969
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
Red Flags
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.
