Kathleen A. Carrico

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Jerseyville, IL 62052

Some features on this profile are disabled

CRD#: 2286472

Professional summary

Kathleen Ann Carrico, who also goes by Kathy Carrico, Kathleen A Russell, is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Jerseyville, Illinois and LASALLE ST SECURITIES, L.L.C. located in Jerseyville, Illinois.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kathleen has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Carrico | Kathleen A Russell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FIXED INSURANCE; CARROLLTON BANK- VICE PRESIDENT/TRUST OFFICER, 1101 S STATE ST PO BOX 249, JERSEYVILLE, IL 62052, COMMERCIAL BANK, INVESTMENT-RELATED; MARY KAY INC.- 16251 DALLAS PARKWAY, DALLAS, TX 75248, SKIN CARE & COSMETICS - PERSONAL USE CONSULTANT;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Ann Carrico's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2017 - Present

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Office #1: 1101 S State St, Jerseyville, IL 62052

RIA

CRD#: 109701

Jerseyville, IL

Current

November 5, 1992 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 1101 South State Street, Jerseyville, IL 62052Office #2: 120 Homer Adams Parkway, Alton, IL 62002-9210

CRD#: 7191

Jerseyville, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/2/2004)

Arkansas
(4/22/2021)

California
(1/4/2001)

Colorado
(3/11/2015)

Florida
(1/5/2001)

Georgia
(10/16/2024)

Illinois
(11/13/1992)

IAR

Illinois
(1/4/2017)

Indiana
(4/24/2024)

Iowa
(2/27/2001)

Kansas
(7/26/2023)

Kentucky
(10/17/2023)

Maryland
(11/16/2021)

Michigan
(10/28/2021)

Minnesota
(10/15/2012)

Missouri
(11/17/1992)

Nebraska
(4/7/2008)

Nevada
(3/23/2017)

New Hampshire
(2/22/2024)

Pennsylvania
(1/23/2012)

Tennessee
(10/28/2021)

Texas
(10/3/2016)

Utah
(4/30/2013)

Virginia
(9/12/2022)

Washington
(1/7/2022)

Wisconsin
(4/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Kenneth Young

TRANSAMERICA FINANCIAL ADVISORS, LLC

IAR

Las Vegas, NV

Benjamin Conteh

BARGELD FINANCIAL

IAR

Media, PA

Ken Ihori

CENTAURUS FINANCIAL, INC.

IAR

Glendale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen A. Carrico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Ann Carrico's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2016

Series 63

Date: 11/10/1992

SIE

Date: 10/1/2018

Series 7

Date: 11/4/1992

Series 24

Date: 11/14/1995

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

Contact information

Similar Advisors