Dawn C. Abernathy

COMPASS RETIREMENT GROUP

St. Louis, MO 63141

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CRD#: 6229586

Professional summary

Dawn Carolyn Abernathy, who also goes by Dawn C Cox, is a registered financial advisor currently at COMPASS RETIREMENT GROUP LLC located in St. Louis, Missouri.

Dawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Dawn has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dawn C Cox

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Carolyn Abernathy'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

May 12, 2026 - Present

COMPASS RETIREMENT GROUP LLC

Office #1: 10326 Old Olive Street Road, St. Louis, MO 63141

RIA

CRD#: 282420

St. Louis, MO

Past

August 2, 2024 - April 7, 2025

ELLEVEST

RIA

CRD#: 175476

Florissant, MO

Past

February 22, 2024 - May 20, 2026

CORE PLANNING

RIA

CRD#: 154660

Florissant, MO

Past

August 23, 2023 - January 24, 2024

EDWARD JONES

RIA

CRD#: 250

Florissant, MO

Past

July 5, 2023 - January 24, 2024

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

COMPASS RETIREMENT GROUP LLC

COMPASS RETIREMENT GROUP LLC | COMPASS RETIREMENT SOLUTIONS, LLC

CRD#: 282420 / SEC#: 801-124696

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

Illinois

Registered Investment Advisory firm - (5/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Missouri
(5/12/2026)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/5/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/25/2023

Securities Industry Essentials Examination

Current Firm

COMPASS RETIREMENT GROUP LLC

COMPASS RETIREMENT GROUP LLC | COMPASS RETIREMENT SOLUTIONS, LLC

CRD#: 282420 / SEC#: 801-124696

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

Illinois

Registered Investment Advisory firm - (5/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2022 Terminated)

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Contact information

Main Address

10326 Old Olive Street Road, St. Louis, MO 63141

Mailing Address

Phone number

(314) 373-1598

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (2/23/2026)

WRAP BROCHURE (2/23/2026)

Regulatory assets under management

Total Number of Accounts	939
AUM (Assets Under Management)	$ 111,859,803

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.

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Advisor Monitoring

Firm Stability Insights

Dawn C. Abernathy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Carolyn Abernathy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELLEVEST

CORE PLANNING

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

COMPASS RETIREMENT GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2023

Series 7TO

Date: 7/5/2023

SIE

Date: 4/25/2023

Current Firm

COMPASS RETIREMENT GROUP LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS RETIREMENT GROUP LLC

TRUST BUT VERIFY

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