Dawn Marie Carrico

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Current Employers

Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-17
IN	RA	APPROVED	2012-01-05

TX RA
APPROVED_RES

Since 2019-01-17
IN RA
APPROVED

Since 2012-01-05

Branch Locations

7880 Wicker Avenue Suite 202, St John, IN 46373 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Edward Jones	St Louis	MO	01/2012	Present

01/2012 → Present

Edward Jones

St Louis, MO

Previous Registrations

2009-06-01 → 2011-12-21

Morgan Stanley

Chicago, IL
2009-04-17 → 2009-06-01

Morgan Stanley & Co. Llc

Chicago, IL
2008-02-27 → 2009-04-30

Deutsche Bank Securities Inc.

Chicago, IL

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-02-11
S63	Uniform Securities Agent State Law Examination	2000-08-28

S66 Uniform Combined State Law Examination

2008-02-11
S63 Uniform Securities Agent State Law Examination

2000-08-28

Other Names

Dawn Marie Fultz
Dawn M. Michalik
Dawn M. Michalik

View on SEC IAPD

Other Firms

SANTEFORT INVESTMENT GROUP, LLC

MIDWEST INVESTMENT AND RETIREMENT MANAGEMENT, INC.

ROOTED WEALTH ADVISORS

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

J.P. MORGAN SECURITIES LLC

FIFTH THIRD SECURITIES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

VOYA FINANCIAL ADVISORS, INC.

Other Investors

DOUGLAS ALLAN SANTEFORT

Christian Reid Crum

GARY DWIGHT CRUM

ZACHARY BLAKE GRAY

THOMAS FRANCIS HIVKO

HOWARD HAROLD SCOTT HOLMES

Melanie K Chakos

Joseph Zuccarelli

Other Offices

SANTEFORT INVESTMENT GROUP, LLC · SCHERERVILLE, IN

MIDWEST INVESTMENT AND RETIREMENT MANAGEMENT, INC. · ST. JOHN, IN

ROOTED WEALTH ADVISORS · St. John, IN

LASALLE ST. INVESTMENT ADVISORS, L.L.C. · SHERERVILLE, IN

J.P. MORGAN SECURITIES LLC · SCHERERVILLE, IN

FIFTH THIRD SECURITIES, INC. · SCHERERVILLE, IN

EDWARD JONES · SCHERERVILLE, IN

THRIVENT INVESTMENT MANAGEMENT INC. · Saint John, IN

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