Carolyn D. Bare

CETERA INVESTMENT ADVISERS LLC

SENECA, SC 29678

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CRD#: 5499563

Professional summary

Carolyn Dee Bare, who also goes by Cari Dee Bare, Cari D Bare, Cari Bare, Carolyn D Bare Miller, Carolyn Miller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Seneca, South Carolina and CETERA WEALTH SERVICES, LLC located in Seneca, South Carolina.

Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Carolyn has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cari Dee Bare | Cari D Bare | Cari Bare | Carolyn D Bare Miller | Carolyn Miller

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) RUSTY ROOTS FAMILY HORSE FARM POSITION: Owner NATURE: My husband boards horses at our home in our horse barn for a monthly fee. I don't see any income from this venture but it is at my home and part of my family income. There is not a profit as it shows a loss this year. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2024 ADDRESS: 995 Coneross Point Drive, Seneca, S, Seneca SC 29678, United States DESCRIPTION: No duties or responsibilities are on me. My husband manages and runs it. 2) TRUST MATTERS FINANCIAL POSITION: Owner NATURE: Provide investment planning, financial planning, Retirement planning, estate planning, financial advisory services, insurance planning, tax consulting with regard to investment structure INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 07/26/2024 ADDRESS: 301 Augusta St, Unit 100, Greenville SC 29601, United States DESCRIPTION: Meeting with clients Reviewing investment performance Reviewing insurance products analyzing financial plan Analyzing investments tax structure Give guidance for portfolio choices for investments 3) TRUST MATTERS FINANCIAL, LLC POSITION: Owner NATURE: Provide investment planning, financial planning, Retirement planning with regard to investments, estate planning, financial advisory services, insurance planning, tax consulting with regard to investment structure INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 07/26/2024 ADDRESS: 211 E. North 1st Street, Seneca SC 29678, United States DESCRIPTION: Meeting with clients Reviewing investment performance Reviewing insurance products analyzing financial plan Analyzing investments tax structure Give guidance for portfolio choices for investments

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Dee Bare's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 211 E. North 1st Street, Seneca, SC 29678

RIA

CRD#: 105644

SENECA, SC

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 211 E. North 1st Street, Seneca, SC 29678

CRD#: 6363

LAS VEGAS, NV

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(9/5/2025)

Georgia
(9/18/2025)

North Carolina
(9/5/2025)

South Carolina
(9/5/2025)

IAR

South Carolina
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/21/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Carolyn D. Bare

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Dee Bare's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

ADVANTAGE INVESTMENT MANAGEMENT, LLC

LPL FINANCIAL LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2008

SIE

Date: 10/1/2018

Series 7

Date: 5/8/2008

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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