Carrie Busse has been an investment adviser representative at Lombard Advisers since November 2021, and is not listed among the firm’s executive officers or direct owners.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
Carrie Busse’s longest registration is the current one, 4 years at Lombard Advisers since 2021. Before joining Lombard Advisers in 2021, Carrie Busse was registered through Cetera Advisor Networks LLC and Summit Financial Group Inc.
- – present · 4 yearsChillicothe, MO · Adviser representative · Firm CRD 108231
- Cetera Advisor Networks LLC– · under a yearChillicothe, MO · Adviser representative · Firm CRD 13572
- Summit Financial Group Inc– · 4 yearsChillicothe, MO · Adviser representative · Firm CRD 109485
- VSR Advisory Services– · 1 yearChillicothe, MO · Adviser representative · Firm CRD 14503
Investment adviser representative registrations
Carrie Busse is registered as an investment adviser representative in Missouri, since November 2021.
- MissouriSince 8 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 6 January 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 January 2001 |
| Series 7 | General Securities Representative Examination | 29 November 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Carrie Lynn Busse
- CRD
- 4270168
- Firm
- Lombard Advisers · CRD 108231
- Office
- 812 Clay Street, Chillicothe, MO 64601
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Carrie Busse work?
Carrie Busse is an investment adviser representative registered through Lombard Advisers Incorporated since November 2021, and is not listed among the firm’s executive officers or direct owners.
Is Carrie Busse a financial advisor?
Yes. Carrie Busse has a current investment-adviser registration in Missouri, through Lombard Advisers since November 2021.
How many years of experience does Carrie Busse have?
Carrie Busse has 25 years in the financial industry, since November 2000, across 4 adviser firms.
What exams has Carrie Busse passed?
Carrie Busse has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in November 2000. FINRA credited Carrie Busse with the SIE, which began in October 2018.
Where did Carrie Busse work before Lombard Advisers?
Before Lombard Advisers, Carrie Busse was registered through Summit Financial Group Inc, September 2016 to May 2021; VSR Advisory Services, January 2015 to September 2016.
Where is Carrie Busse based?
Carrie Busse’s registered office is in Chillicothe, MO.
Is Carrie Busse registered with FINRA?
Yes. Carrie Busse has a current broker registration, under CRD 4270168.
Source: FINRA BrokerCheck
How can I verify Carrie Busse’s record?
Search CRD 4270168 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Carrie Busse’s full registration record.