DA
Dawn C. Abernathy
CORE PLANNING
Florissant, MO
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CRD#: 6229586
DA
Professional summary
Dawn Carolyn Abernathy, who also goes by Dawn C Cox, is a registered financial advisor currently at CORE PLANNING located in Florissant, Missouri.
Dawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Dawn has worked at 3 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.
a. the name of the other business: Core Planning b.whether the business is investment-related: financial planning and investments c.the address of the other business: 400 Chesterfield Center #400, Chesterfield, MO 63017 d.the nature of the other business: financial planning and investments e.your position: Financial Planner f.title, or relationship with the other business: Independent Contractor g.the start date of your relationship:2/1/2024 h.the approximate number of hours/month you devote to the other business:40 i.the number of hours you devote to the other business during securities trading hours:0 j.and briefly describe your duties relating to the other business:Providing financial planning services for individuals and investing their funds k.the name of the other business: Dawn C. Abernathy, LLC l.whether the business is investment-related:No m.the address of the other business:1269 Hermans Orchard Dr, Florissant, MO 63034 n.the nature of the other business: Financial Education Workshops and Software Consulting o.your position: Consultant p.title, or relationship with the other business:Owner, single-member LLC q.the start date of your relationship:4/1/2024 r.the approximate number of hours/month you devote to the other business:2 s.the number of hours you devote to the other business during securities trading hours:0 t.and briefly describe your duties relating to the other business: Financial education workshops and freelance software consulting
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Carolyn Abernathy's 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®
NoneExperience
Current
February 22, 2024 - Present
CORE PLANNING
RIA
CRD#: 154660
Florissant, MO
Past
August 2, 2024 - April 7, 2025
ELLEVEST
RIA
CRD#: 175476
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
BD
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".
CORE PLANNING
AD ASTRA | ST. LOUIS PRIVATE ADVISORS | SAVOR FINANCIAL | PINK THREAD | PENN GUY M. JR | H3FP | G. M. PENN WEALTH MANAGEMENT | COREALIGN | CORE PLANNING, LLC | CORE PLANNING | CORE
CRD#: 154660 / SEC#: 801-131950
RIA
Registered Investment Advisory firm - (2/13/2025 Approved)California
Registered Investment Advisory firm - (5/9/2025 Terminated)Illinois
Registered Investment Advisory firm - (4/9/2025 Terminated)Missouri
Registered Investment Advisory firm - (4/9/2025 Terminated)Oregon
Registered Investment Advisory firm - (4/9/2025 Terminated)Texas
Registered Investment Advisory firm - (4/9/2025 Terminated)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(2/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
CORE PLANNING
AD ASTRA | ST. LOUIS PRIVATE ADVISORS | SAVOR FINANCIAL | PINK THREAD | PENN GUY M. JR | H3FP | G. M. PENN WEALTH MANAGEMENT | COREALIGN | CORE PLANNING, LLC | CORE PLANNING | CORE
CRD#: 154660 / SEC#: 801-131950
RIA
Registered Investment Advisory firm - (2/13/2025 Approved)California
Registered Investment Advisory firm - (5/9/2025 Terminated)Illinois
Registered Investment Advisory firm - (4/9/2025 Terminated)Missouri
Registered Investment Advisory firm - (4/9/2025 Terminated)Oregon
Registered Investment Advisory firm - (4/9/2025 Terminated)Texas
Registered Investment Advisory firm - (4/9/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
706 N Main St, Ofallon, MO 63366
Mailing Address
Phone number
(636) 734-7507
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (29 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 884 |
| AUM (Assets Under Management) | $ 121,451,500 |
Red Flags
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