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MG

Mary K. Gaunt

INSTITUTIONAL SECURITIES
Dallas, TX 75219
Some features on this profile are disabled
CRD#: 4039504
MG

Professional summary

Mary Katheryn Gaunt, who also goes by Katie Gaunt, Katie Munn, Mary K Munn, Mary Katheryn Munn, is a registered financial professional currently at INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas.

Mary is registered as a RR (Registered Representative) and started their career in finance in 1999. Mary has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katie Gaunt | Katie Munn | Mary K Munn | Mary Katheryn Munn

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 Mary Katheryn Gaunt'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

August 18, 2025 - Present

INSTITUTIONAL SECURITIES CORPORATION

Office #1: 3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
BD
CRD#: 20291
Dallas, TX
Past

January 4, 2024 - August 21, 2025

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
SCHAUMBURG, IL
Past

April 26, 2018 - December 31, 2023

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

July 17, 2013 - June 6, 2016

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

April 5, 2013 - July 18, 2013

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
MERIDEN, CT
Past

July 23, 2010 - September 18, 2012

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
HOWELL, MI
Past

May 24, 2010 - June 7, 2010

FINACORP SECURITIES

BD
CRD#: 41569
IRVINE, CA
Past

May 31, 2005 - April 24, 2009

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

April 24, 2001 - March 7, 2006

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

October 15, 1999 - March 16, 2000

SIMMERS CAPITAL MANAGEMENT CORPORATION

BD
CRD#: 29960
PHOENIX, AZ

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
California
(8/18/2025)
RR
Florida
(8/18/2025)
RR
North Carolina
(8/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/14/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/20/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INSTITUTIONAL SECURITIES CORPORATION
INSTITUTIONAL SECURITIES CORPORATION | ISC GROUP, INC.

CRD#: 20291 / SEC#: 801-36967, 8-38158

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
Mailing Address
3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
Phone number
(214) 520-1115
Established
Texas since 06/24/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
ISC GROUP, INC.OWNS APPLICANT
HAYES, SCOTT ALLENPRESIDENT2375916
NEIDLINGER, CHRISTOPHER WADECHIEF COMPLIANCE OFFICER2963179
STERLING, DONALD WILLIAMFINANCIAL OPERATIONS PRINCIPAL1192425

Disclosures

Regulatory Event1

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

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291Dallas, TX 75219

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