MS
Mary K. Sulick
CETERA INVESTMENT ADVISERS LLC
LEXINGTON PARK, MD 20653
Some features on this profile are disabled
CRD#: 4512927
MS
Professional summary
Mary Kathleen Sulick, who also goes by Mary Kathleen Kleeberg, Mary Kathleen Lucke, Kathie Sulick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lexington Park, Maryland and CETERA WEALTH SERVICES, LLC located in Lexington Park, Maryland.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Mary has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary Kathleen Kleeberg | Mary Kathleen Lucke | Kathie Sulick
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) HEIMLANTZ FINANCIAL ADVISORS, LLC (FORMALLY ASSET RESOURCE MANAGEMENT, LLC) POSITION: Financial advisor NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2002 ADDRESS: Annapolis MD , United States DESCRIPTION: not-for-profit community service organization for the prevention of child abuse 2) HEIMLANTZ CPA'S AND ADVISORS POSITION: CPA/PFS NATURE: BUSINESS AND TAX SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 8 START DATE: 05/17/2016 ADDRESS: 180 Admiral Cochrane, Ste 520, Annapolis MD 21401, United States DESCRIPTION: Same as HeimLantz Business and Tax Services 3) ANNE A RUNDEL COUNTY PENSION TRUSTEE BOARD POSITION: Board member NATURE: Pension board INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 DESCRIPTION: Oversight of county pension 4) ANNAPOLIS POLICE & FINE RETIREMENT COMMISSION POSITION: null NATURE: null INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2007 Address: DESCRIPTION: Board member
CRS (Client Relationship Summary) - RIA
Click below to view Mary Kathleen Sulick's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 22738 Maple Road Suite 201, Lexington Park, MD 20653Office #2: 180 Admiral Cochrane Drive Suite 520, Annapolis, MD 21403RIA
CRD#: 105644
LEXINGTON PARK, MD
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 22738 Maple Road Suite 201, Lexington Park, MD 20653Office #2: 180 Admiral Cochrane Drive Suite 520, Annapolis, MD 21401BD
CRD#: 13572
LEXINGTON PARK, MD
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
LEXINGTON PARK, MD
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Annapolis, MD
Past
March 11, 2004 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
Annapolis, MD
Past
February 18, 2003 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
Annapolis, MD
Past
May 23, 2002 - February 25, 2003
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Alabama(9/5/2025)
RR
California(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Kansas(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
IAR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
