Carol J. Bell
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.
Carol Jean Bell was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2005. Carol had worked at 14 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2021 - July 22, 2026
CETERA INVESTMENT ADVISERS LLC
March 30, 2015 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
March 30, 2015 - November 29, 2016
VSR FINANCIAL SERVICES, INC.
March 30, 2015 - November 29, 2016
INVESTORS CAPITAL CORP.
March 30, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
March 30, 2015 - November 2, 2017
GIRARD SECURITIES, INC.
March 30, 2015 - April 9, 2018
SUMMIT BROKERAGE SERVICES, INC.
March 13, 2015 - April 9, 2018
FIRST ALLIED SECURITIES, INC.
March 25, 2013 - April 9, 2018
CETERA ADVISORS LLC
March 25, 2013 - April 9, 2018
CETERA WEALTH SERVICES, LLC
March 25, 2013 - August 2, 2024
CETERA FINANCIAL SPECIALISTS LLC
August 25, 2005 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
August 25, 2005 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
August 25, 2005 - July 22, 2026
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
