Mary A. Sterk
Professional summary
Mary Alice Sterk, CFP®, who also goes by Mary Colella, Mary Alice Long, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Dakota Dunes, South Dakota.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mary has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mary Alice Sterk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mary Alice Sterk's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2002
Experience
January 19, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 350 Oak Tree Lane Suite 150, Dakota Dunes, SD 57049January 19, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 350 Oak Tree Lane Suite 150, Dakota Dunes, SD 57049March 10, 2010 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
October 12, 1999 - February 11, 2010
WOODBURY FINANCIAL SERVICES, INC.
September 18, 1997 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
October 15, 1996 - August 15, 1997
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
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 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
