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AM

Anthony J. Mun

SOUTHSTATE SECURITIES
ENCINO, CA
Some features on this profile are disabled
CRD#: 4130992
AM

Professional summary

Anthony Jun Mun, who also goes by Tony Mun, is a registered financial professional currently at SOUTHSTATE SECURITIES CORP. located in Encino, California.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2001. Anthony has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony Mun

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Jun Mun's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 4, 2021 - Present

SOUTHSTATE SECURITIES CORP.

BD
CRD#: 6950
ENCINO, CA
Past

January 18, 2017 - June 18, 2018

FIRST EMPIRE SECURITIES, INC.

BD
CRD#: 15129
West Los Angeles, CA
Past

May 28, 2013 - January 24, 2017

PIPER SANDLER & CO.

BD
CRD#: 665
EL SEGUNDO, CA
Past

July 6, 2012 - April 15, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

April 30, 2012 - June 18, 2012

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

January 19, 2011 - May 2, 2012

ALLY SECURITIES LLC

BD
CRD#: 25988
NEW YORK, NY
Past

May 13, 2002 - July 14, 2005

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

April 17, 2001 - May 9, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(1/24/2025)
RR
Arkansas
(1/24/2025)
RR
California
(11/24/2021)
RR
Colorado
(12/7/2021)
RR
Florida
(12/8/2021)
RR
Illinois
(12/9/2021)
RR
Louisiana
(12/8/2021)
RR
Minnesota
(12/8/2021)
RR
New Jersey
(12/13/2021)
RR
New York
(12/8/2021)
RR
North Carolina
(12/5/2023)
RR
Ohio
(1/24/2025)
RR
South Carolina
(12/8/2021)
RR
Texas
(12/11/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/23/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/14/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/2/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOUTHSTATE SECURITIES CORP.
A. DUNCAN WILLIAMS, INC. | SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. | SOUTHSTATE SECURITIES CORP. | DUNCAN-WILLIAMS, INC. | DUNCAN-WILLIAMS WEALTH MANAGEMENT GROUP

CRD#: 6950 / SEC#: 801-68820, 8-18971

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Mailing Address
6750 Poplar Avenue Suite 300, Memphis (shelby), TN 38138-7424
Phone number
(901) 260-6800
Established
Tennessee since 03/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SOUTHSTATE BANK, NATIONAL ASSOCIATIONOWNER
BONONNO, JOSEPH KEMPCHIEF FINANCIAL OFFICER7437632
CHERRY, JAMES CROWELLCHIEF COMPLIANCE OFFICER2870353
HODGES, STUART LEESVP, PRESIDENT7370566
HOWARD, HEATHER DIANECORPORATE SECRETARY/COMPLIANCE OFFICER4349745
TUCKER, KIMBERLY SHAYOPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER7370391

Disclosures

Regulatory Event9
Arbitration1

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.

Company Information

SOUTHSTATE SECURITIES CORP.

CRD#: 6950Encino, CA

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