Mark R. Gallagher

OSAIC WEALTH

NORTH ST PAUL, MN 55109

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CRD#: 1297996

Professional summary

Mark Richard Gallagher, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in North St Paul, Minnesota.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. INCOME TAX PREPARATION POSITION: Owner NATURE: S-Corp INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1990 ADDRESS: 2586 7th ave E, Suite 304, North St Paul MN 55109, United States DESCRIPTION: We offer Tax prep for our Investment Clients. We spend alot of time from Feb 1 through April 15th on this activity. I have 4 preparers 2. HEALTH INSURANCE SALES POSITION: Owner NATURE: Mostly Medicare supplement and Medicare Advantage plans. Some individual. Also some Fixed annuities. MY FMO is IFC National Marketing INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1990 ADDRESS: 2586 7th ave E, Suite 304, North St Paul MN 55109, United States DESCRIPTION: we sell Medicare Advantage , Medicare supplements, Individual Health Ins and some fixed annuities. 3. GALLAGHER SAND LAKE POSITION: Property and Insurance point of contact NATURE: This is Family Cabin coop between my 6 brothers and 4 sisters. I am business matters address. once per year I pay $100 to an attorney to register our LLC with the sate of Wisconsin. my address is mailing address for property taxes. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 926 PALM CIRCLE, SAINT PAUL MN 55109, United States DESCRIPTION: I am business matters address. once per year I pay $100 to an attorney to register our LLC with the sate of Wisconsin. my address is mailing address for property taxes. 4.GALLAGHER FINANCIAL SERVICES INC - FIXED INSURANCE POSITION: Owner NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1990 ADDRESS: 2586 7th ave E, Suite 304, North St Paul MN 55109, United States DESCRIPTION: we sell Medicare Advantage , Medicare supplements, Individual Health Ins and some fixed annuities. 5. POLAR TAX SOLUTIONS. INC POSITION: Owner NATURE: S-Corp INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/21/2022 ADDRESS: 2586 7th ave E, North St Paul MN 55109, United States DESCRIPTION: Income Tax Preparation 6. GALLAGHER FINANCIAL SERVICES INC - DBA POSITION: The purpose of this OBA is to disclose the DBA - Gallagher Financial Services Inc NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2001 ADDRESS: 2586 7th ave E, North St Paul MN 55109, United States DESCRIPTION: The purpose of this OBA is to disclose the DBA - Gallagher Financial Services Inc 7. GALLAGHER FINANCIAL SERVICES INC. - LEGAL ENTITY POSITION: Owner NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2001 ADDRESS: 2586 7th ave E, North St Paul MN 55109, United States DESCRIPTION: To Disclose my legal entity for accounting purposes. 8. 4College planning services, Gallagher Financial Services; located at North Minneapolis, MN; as of 04/28/2011; conducted at branch; not investment related. 9. GALLAGHER FINANCIAL SERVICES POSITION: Notary NATURE: I am a Notary. I do not charge for this service INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2005 ADDRESS: 2586 7th Ave E, Suite 304, North St Paul MN 55109, United States DESCRIPTION: I notarize documents as needed

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Gallagher's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark Richard Gallagher'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

October 17, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 2586 7th Ave E #304, North St Paul, MN 55109

RIA

CRD#: 23131

NORTH ST PAUL, MN

Current

October 17, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 2586 7th Ave E #304, North St Paul, MN 55109

RIA

CRD#: 23131

NORTH ST PAUL, MN

Past

December 3, 2013 - October 20, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NORTH ST.PAUL, MN

Past

June 5, 1995 - October 20, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NORTH ST.PAUL, MN

Past

March 25, 1988 - June 13, 1995

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 29, 1984 - March 19, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alaska
(10/17/2025)

Arizona
(10/17/2025)

California
(10/17/2025)

Colorado
(10/17/2025)

Florida
(10/17/2025)

IAR

Florida
(10/20/2025)

Massachusetts
(10/17/2025)

Michigan
(10/17/2025)

IAR

Minnesota
(10/17/2025)

Minnesota
(10/27/2025)

New Mexico
(10/17/2025)

South Carolina
(10/17/2025)

Texas
(10/17/2025)

Virginia
(10/17/2025)

Washington
(10/17/2025)

Wisconsin
(10/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/28/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/30/1987

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Firm Stability Insights

Mark R. Gallagher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Richard Gallagher's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Richard Gallagher's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

CETERA ADVISORS LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/29/1984

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1988

Series 6

Date: 8/28/1984

Series 26

Date: 12/30/1987

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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