CRD #149531 · FINRA BrokerCheck + SEC IAPD

Mundial Financial Group, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mundial Financial Group, LLC ranks #4,409 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #310 of 868 on the same disclosure sort used on the state browse page. Mundial Financial Group, LLC carries 1 BrokerCheck disclosure across 2 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
1
disclosure
#4,409 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 149531 Mundial Financial Group, LLC

Mundial Financial Group, LLC · Grade B · 1 disc · 0.50/office · Small firm

  • CRD 149531
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 0.50
  • RANK #4,409 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: 1964 Global (0.50 disc/office)

1964 Global0.50ABG Sundal Collier Inc.0.50ABN Amro Securities (US…0.50Mundial Financial G… (this)0.50
Disclosures per office among small firm peers (lower is cleaner)

Mundial Financial Group, LLC ranks #4,409 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

2 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.50 per office

1 ÷ 2 offices

Mundial Financial Group, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Mundial Financial Group, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
149531

Regulator-heavy mix

Mundial Financial Group, LLC in the heavier-disclosure third

Mundial Financial Group, LLC carries 1 BrokerCheck disclosure across 2 branch offices - a heavier-third raw book among graded firms (#4,409 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Mundial Financial Group, LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Mundial Financial Group, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.11× state average

Mundial Financial Group, LLC sits below the New York disclosure average

Mundial Financial Group, LLC reports 1 BrokerCheck disclosure, 0.11× the New York average of 8.7, lighter than most of the 868 graded firms filed there.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Mundial Financial Group, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mundial Financial Group, LLC ranks #4,409 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #310 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Mundial Financial Group, LLC?
A grade of B reflects Mundial Financial Group, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Mundial Financial Group, LLC have?
Mundial Financial Group, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Mundial Financial Group, LLC?
Mundial Financial Group, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Mundial Financial Group, LLC's disciplinary record?
You can verify Mundial Financial Group, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 149531. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Mundial Financial Group, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Mundial Financial Group, LLC carries 1 disclosure across 2 branch offices (about 0.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1964 Global (NY) - 0.50 disclosures/office, nearest small firm peer to Mundial Financial Group, LLC's 0.50
  • ABG Sundal Collier Inc. (NY) - 0.50 disclosures/office, nearest small firm peer to Mundial Financial Group, LLC's 0.50
  • ABN Amro Securities (USA) LLC (NJ) - 0.50 disclosures/office, nearest small firm peer to Mundial Financial Group, LLC's 0.50
  • Firms in NY - state roster that includes Mundial Financial Group, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Mundial Financial Group, LLC.
  • Reading BrokerCheck Reports - How Mundial Financial Group, LLC's 0.50 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Mundial Financial Group, LLC.
  • Compare firms - put Mundial Financial Group, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.