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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

CAROLYN DEE BARE

Advisor at CETERA INVESTMENT ADVISERS LLC

SENECA, SC

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Search this name across graphsid dfx:ria:f23a69a0-2a59-256d-451c-4d567cb29e06

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Jun 23, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 21, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 21, 2008
First registration: Jun 23, 2008
Dual registered: yes, broker-dealer
Other names: CARI DEE BARE|Carolyn D Bare Miller|Cari Bare|Cari D Bare|Carolyn Miller
IAPD individual key: 5499563

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	SENECA, SC	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Aug 2, 2024	Sep 5, 2025	no	DALLAS, TX\|Greenville, SC\|Seneca, SC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 19, 2022	Aug 9, 2024	no	NAPLES, FL\|FORT MYERS, FL\|CAPE CORAL, FL\|BONITA SPRINGS, FL\|FORT MYERS, FL	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	May 1, 2017	May 24, 2022	no	FORT MYERS, FL\|Fort Myers, FL\|Naples, FL\|Naples, FL\|Naples, FL\|NAPLES, FL\|Bonita Springs, FL\|Fort Myers, FL\|Naples, FL\|CAPE CORAL, FL\|FORT MYERS, FL\|WAVERLY, IA	Previous registration
ADVANTAGE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 7, 2016	Mar 24, 2017	no	Naples, FL	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	May 19, 2014	Sep 11, 2014	no	San Diego, CA\|El Cajon, CA\|SAN DIEGO, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 28, 2013	May 8, 2014	no	SAN DIEGO, CA\|MENLO PARK, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Nov 10, 2009	Oct 26, 2012	no	LAS VEGAS, NV\|SAN DIEGO, CA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Aug 26, 2008	Oct 13, 2009	no	LAS VEGAS, NV	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 23, 2008	Aug 14, 2008	no	HENDERSON, NV	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	AVANTAX ADVISORY SERVICES	Aug 9, 2024	Aug 2, 2024	-7	Firm change	Ibd to ibd
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 24, 2022	May 19, 2022	-5	Bulk transfer	Ibd to RIA
ADVANTAGE INVESTMENT MANAGEMENT, LLC	CUNA BROKERAGE SERVICES, INC.	Mar 24, 2017	May 1, 2017	38	Firm change	Other
CUSO FINANCIAL SERVICES, L.P.	ADVANTAGE INVESTMENT MANAGEMENT, LLC	Sep 11, 2014	Apr 7, 2016	574	Firm change after gap	Other
LPL FINANCIAL LLC	CUSO FINANCIAL SERVICES, L.P.	May 8, 2014	May 19, 2014	11	Firm change	Other
MSI FINANCIAL SERVICES, INC.	LPL FINANCIAL LLC	Oct 26, 2012	Jan 28, 2013	94	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	MSI FINANCIAL SERVICES, INC.	Oct 13, 2009	Nov 10, 2009	28	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	VALIC FINANCIAL ADVISORS, INC.	Aug 14, 2008	Aug 26, 2008	12	Firm change	Other

Relationships

Registered with (9)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Aug 2, 2024 to Sep 5, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 19, 2022 to Aug 9, 2024factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
May 1, 2017 to May 24, 2022factForm ADV
→ ADVANTAGE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 7, 2016 to Mar 24, 2017factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
May 19, 2014 to Sep 11, 2014factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 10, 2009 to Oct 26, 2012factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 26, 2008 to Oct 13, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 23, 2008 to Aug 14, 2008factForm ADV

Dated events

Occurred
Aug 9, 2024
Advisor changed firm
Carolyn Dee Bare left Lpl Financial Llc for Avantax Advisory Services (registered 2024-08-02)
Form ADVobserved 4 days ago