Dale Deval Carey

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → Present
  Summit Financial Inc.
  Lynnwood, WA
• 02/2009 → 11/2017
  Invest Financial Corp
  Tampa, FL
• 01/1995 → Present
  Carey Agency Inc.
  Mukilteo, WA
• 11/2017 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2009-02-17 → 2017-11-22
  Invest Financial Corporation
  Clearwater, FL
  Lynnwood, WA
• 2002-01-23 → 2009-02-20
  Transamerica Financial Advisors, Llc
  Bellevue, WA
  Las Vegas, NV
  Mukilteo, WA

Other Businesses

1. NAME OF OTHER BUSINESS: PATHFINDER FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 11/2017; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2017; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND LONG TERM CARE; 3. SUMMIT FINANCIAL INC. DBA PATHFINDER FINANCIAL, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 11/2017, OWNER/PRESIDENT, APX NUMBER OF HOURS PER WEEK: 50, 32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: PATHFINDER FINANCIAL INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 11/2020; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S66 Uniform Combined State Law Examination
  2001-11-12
• S63 Uniform Securities Agent State Law Examination
  2000-04-20