Anthony J. Mun
Professional summary
Anthony Jun Mun, who also goes by Tony Mun, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS 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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Jun Mun's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2021 - Present
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 18, 2017 - June 18, 2018
FIRST EMPIRE SECURITIES, INC.
May 28, 2013 - January 24, 2017
PIPER SANDLER & CO.
July 6, 2012 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
April 30, 2012 - June 18, 2012
COHEN & COMPANY SECURITIES, LLC
January 19, 2011 - May 2, 2012
ALLY SECURITIES LLC
May 13, 2002 - July 14, 2005
NOMURA SECURITIES INTERNATIONAL, INC.
April 17, 2001 - May 9, 2002
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/24/2025)
(1/24/2025)
(11/24/2021)
(12/7/2021)
(12/8/2021)
(12/9/2021)
(12/8/2021)
(12/8/2021)
(12/13/2021)
(12/8/2021)
(12/5/2023)
(1/24/2025)
(12/8/2021)
(12/11/2021)
Exams
FINRA
Current Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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