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CB

Carolyn D. Bare

CETERA INVESTMENT ADVISERS
SENECA, SC 29678
Some features on this profile are disabled
CRD#: 5499563
CB

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.
The advisor shows no other business activity.

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
BD
CRD#: 13572
Seneca, SC
Past

August 2, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Seneca, SC
Past

July 30, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Seneca, SC
Past

May 19, 2022 - August 9, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
NAPLES, FL
Past

May 18, 2022 - August 9, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
NAPLES, FL
Past

May 1, 2017 - May 24, 2022

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
CAPE CORAL, FL
Past

April 21, 2017 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
CAPE CORAL, FL
Past

April 7, 2016 - March 24, 2017

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 146236
Naples, FL
Past

April 1, 2015 - March 23, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
NAPLES, FL
Past

May 19, 2014 - September 11, 2014

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
SAN DIEGO, CA
Past

May 19, 2014 - September 11, 2014

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

January 28, 2013 - May 8, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

January 24, 2013 - May 8, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

November 10, 2009 - October 26, 2012

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SAN DIEGO, CA
Past

October 12, 2009 - October 26, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SAN DIEGO, CA
Past

August 26, 2008 - October 13, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LAS VEGAS, NV
Past

August 26, 2008 - October 13, 2009

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
LAS VEGAS, NV
Past

June 23, 2008 - August 14, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LAS VEGAS, NV
Past

May 9, 2008 - August 14, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
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".
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
Florida
(9/5/2025)
RR
Georgia
(9/18/2025)
RR
Indiana
(4/7/2026)
RR
North Carolina
(9/5/2025)
RR
South Carolina
(9/5/2025)
IAR
South Carolina
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/21/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/2008
General Securities Representative Examination
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
Registered Investment Advisory firm - (1/13/1984 Approved)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Seneca, SC 29678

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