Kevin D. 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.
Kevin David Mundy, who also goes by Kevin D Mundy, Kevin D. Mundy, Kevin Mundy, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2005. Kevin had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2026 - April 15, 2026
MML INVESTORS SERVICES, LLC
April 7, 2026 - April 15, 2026
MML INVESTORS SERVICES, LLC
October 31, 2023 - July 15, 2024
OSAIC FA, INC.
October 31, 2023 - July 15, 2024
OSAIC FA, INC.
February 2, 2023 - August 1, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2023 - August 1, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2019 - October 31, 2022
EQUITABLE ADVISORS, LLC
April 12, 2019 - October 31, 2022
EQUITABLE ADVISORS, LLC
November 13, 2017 - April 9, 2018
GREENLEAF ADVISORS
May 22, 2017 - August 13, 2018
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 29, 2010 - June 4, 2015
ASCENSUS FINANCIAL SERVICES, LLC.
November 24, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
November 24, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
May 10, 2006 - April 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2006 - April 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 2005 - April 13, 2005
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
Current Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 |
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.
