DC
DC
Dale Carey
26 Years of Experience
Lynnwood, WA
1 DisclosureBrokerSells Insurance
Dale Carey is a registered investment advisor at Cetera Investment Advisers LLC, based in Lynnwood, WA, with 26 years of industry experience. Dale operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Lynnwood, WA
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Regulatory History (1)
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Customer Dispute
October 2018Denied
Other Business ActivitiesSells Insurance
Dale operates Pathfinder Financial as a DBA for financial services, dedicating about a quarter of his time. He also works as an insurance agent selling life, health, disability, and long-term care insurance, spending minimal time on this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Advisors LLCBroker
November 2017 - Present · 8 yrs 6 mos
Previous Registrations
Cetera Advisors LLC
November 2017 - March 2024 · 6 yrs 4 mos
Invest Financial Corporation
February 2009 - November 2017 · 8 yrs 9 mos
Invest Financial CorporationBroker
February 2009 - November 2017 · 8 yrs 9 mos
Intersecurities, INC.
January 2002 - February 2009 · 7 yrs 1 mo
Intersecurities, INC.Broker
March 2000 - February 2009 · 8 yrs 11 mos
State Registrations15 states
AZCACOFLIDILINMNMONVORTXUTVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.