CB
Carrie L. Busse
LOMBARD ADVISERS
Chillicothe, MO 64601
Some features on this profile are disabled
CRD#: 4270168
CB
Professional summary
Carrie Lynn Busse, who also goes by Carrie Lynn Hibner, Carrie Lynn Lockridge, is a registered financial advisor currently at LOMBARD ADVISERS INCORPORATED located in Chillicothe, Missouri and LOMBARD SECURITIES INCORPORATED located in Chillicothe, Missouri.
Carrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Carrie has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carrie Lynn Hibner | Carrie Lynn Lockridge
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) CHILLICOTHE UNITED METHODIST CHURCH PRESCHOOL; NOT INVESTMENT RELATED; 1414 WALNUT STREET, CHILLICOTHE, MO 64601; CHURCH PRESCHOOL; BEGAN NOVEMBER 2014; APPROXIMATELY 8 HOURS PER MONTH INCLUDING DURING TRADING HOURS; BOOKKEEPER. (2) NAME OF OTHER BUSINESS: FINANCIAL & TAX SERVICES LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT PRACTICE & TAX / ACCOUNTING PRACTICE ; START DATE: 01/2019 POSITION/TITLE/RELATIONSHIP: MEMBER / REGISTERED REPRESENTATIVE ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INVESTMENT SERVICES. TAX AND ACCOUNTING SERVICES ; (3) NAME OF OTHER BUSINESS: FINANCIAL & TAX SERVICES LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT PRACTICE & TAX / ACCOUNTING PRACTICE ; START DATE: 01/2024 POSITION/TITLE/RELATIONSHIP: Tax Preparation APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 7 BRIEF DESCRIPTION OF DUTIES: INVESTMENT SERVICES: Tax preparation during tax season. (4) NAME OF OTHER ACTIVITY: BOBBY & PEGGY SMITH LEGACY SCHOLARDHIP FUND INVESTMENT RELATED: NO ADDRESS: 303 N. MACON STREET, MEADVILLE, MO 64659-9253 NATURE OF BUSINESS: CHARITABLE; START DATE: 07/2024 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: INVESTMENT SERVICES: Treasurer, fundraising, and participation in selecting scholarship recipient(s)
CRS (Client Relationship Summary) - RIA
Click below to view Carrie Lynn Busse'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
November 8, 2021 - Present
LOMBARD ADVISERS INCORPORATED
Office #1: 812 Clay Street, Chillicothe, MO 64601RIA
CRD#: 108231
Chillicothe, MO
Current
November 8, 2021 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 812 Clay Street, Chillicothe, MO 64601BD
CRD#: 27954
Chillicothe, MO
Past
May 20, 2021 - November 11, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CHILLICOTHE, MO
Past
September 20, 2019 - November 11, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CHILLICOTHE, MO
Past
September 1, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
CHILLICOTHE, MO
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
CHILLICOTHE, MO
Past
January 8, 2015 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
CHILLICOTHE, MO
Past
November 2, 2001 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
CHILLICOTHE, MO
Past
November 30, 2000 - November 7, 2001
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
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".
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)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
Arizona(9/22/2025)
RR
Arkansas(1/8/2024)
RR
California(11/8/2021)
RR
Colorado(11/8/2021)
RR
Florida(11/8/2021)
RR
Illinois(11/8/2021)
RR
Iowa(11/8/2021)
RR
Kansas(11/8/2021)
RR
Kentucky(4/30/2024)
RR
Minnesota(11/8/2021)
RR
Missouri(11/8/2021)
IAR
Missouri(11/8/2021)
RR
Nebraska(11/8/2021)
RR
New Hampshire(7/23/2025)
RR
Ohio(11/8/2021)
RR
Oregon(11/8/2021)
RR
Texas(11/8/2021)
RR
Washington(11/8/2021)
RR
Wisconsin(11/8/2021)
RR
Wyoming(11/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1820 Lancaster St, Baltimore, MD 21231
Mailing Address
Phone number
(410) 342-1300
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,377 |
| AUM (Assets Under Management) | $ 567,437,959 |
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.
