Carrie Jane Lyon

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2025-09-05

WA RA
APPROVED

Since 2025-09-05

Branch Locations

Sequim, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Carrie J Lyon, Cpa Ps	Sequim	WA	01/1998	Present
Avantax Investment Services, Inc.	Sequim	WA	05/2002	09/2025
Avantax Advisory Services	Sequim	WA	01/2017	09/2025
Carrie J. Lyon Cpa Ps	Sequim	WA	01/1998	Present
Cetera Wealth Services, Llc	Sequim	WA	09/2025	Present
Cetera Investment Advisers Llc	Schaumburg	IL	09/2025	Present

01/1998 → Present

Carrie J Lyon, Cpa Ps

Sequim, WA
05/2002 → 09/2025

Avantax Investment Services, Inc.

Sequim, WA
01/2017 → 09/2025

Avantax Advisory Services

Sequim, WA
01/1998 → Present

Carrie J. Lyon Cpa Ps

Sequim, WA
09/2025 → Present

Cetera Wealth Services, Llc

Sequim, WA
09/2025 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2017-01-12 → 2025-09-05

Avantax Advisory Services

Puyallup, WA

Dallas, TX

Sequim, WA

Other Businesses

1)CARRIE J. LYON CPA PS POSITION: President NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/1998 ADDRESS: 352 Buckhorn Rd, Sequim WA 98382, United States DESCRIPTION: Management of business, prep of taxes and accounting.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-12-13
S63	Uniform Securities Agent State Law Examination	2002-09-20

S65 Uniform Investment Adviser Law Examination

2016-12-13
S63 Uniform Securities Agent State Law Examination

2002-09-20

View on SEC IAPD