MM
Mary K. Meier
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CRD#: 2989841
MM
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.
Mary Kay Meier was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1998. Mary had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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) SAUK CENTRE LIONS CLUB POSITION: Assistant Treasurer NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/27/2019 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Oversee and be aware of the treasury of the club and to be available if needed. I am currently not handling money, however, I would be doing that if I am needed to fulfill the treasury duties as stated above. 2) SAUK CENTRE CONSERVATION CLUB POSITION: Gambling Manager/Accountant NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Accounting firm handles auditing pull tab games, deposits, pays bills, prepares monthly gambling tax returns and profitability per site; Payroll and Accounting Services 3)WINTERS, MEIER, & LARSON, LLC POSITION: Manager/Partner NATURE: Corporation/LLC INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 08/01/2020 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Oversee the daily operations and office management; Meet with clients to provide recommendations for their particular needs, Do accounting for clients, Meet with clients to interview them about their tax situation, Prepare, Check, and E-File their returns. 4) MARY K. MEIER POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Pay Real Estate Taxes & Insurance, Consult on MajorImprovements 5) ST. PAUL'S CHURCH POSITION: Board Member NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 304 Sinclair Lewis Ave., Sauk Centre MN 56378, United States DESCRIPTION: I oversee monthly financial statements. I provide suggestions on how to handle certain contributions, gifts, and memorials. I meet with the finance council to help make decisions in the best interest of the Church. 6) FOCUS FINANCIAL NETWORK, INC. POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 25 START DATE: 07/12/2022 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Meet with clients to discuss financial needsTalk about their long-term goalsMake recommendations 7) SAUK CENTRE FAIRY LAKE ASSOCIATION POSITION: Treasurer NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2020 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Duties include renting out the park for the community and individual events;oversee paying bills as second signer 8) MEIER WEALTHCARE, LLC POSITION: Manager NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/10/2010 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Pay bills and transfer money 9) FOCUS FIXED INSURANCE POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/11/2022 ADDRESS: 1001 Main St. S., Sauk Centre MN 56378, United States DESCRIPTION: Sale and Service of Life Insurance and DI Products
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 15, 2022 - November 28, 2023
FOCUS FINANCIAL
RIA
CRD#: 116140
SAUK CENTRE, MN
Past
July 12, 2022 - November 22, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
SAUK CENTRE, MN
Past
October 25, 2019 - July 19, 2022
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
October 25, 2019 - July 19, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SAUK CENTRE, MN
Past
December 16, 2013 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SAUK CENTRE, MN
Past
January 16, 1998 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SAUK CENTRE, MN
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
