Dennis C. Koenning
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
Alpharetta, GA 30005
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CRD#: 1599307
Professional summary
Dennis Charles Koenning, who also goes by Tim Koenning, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Alpharetta, Georgia.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dennis has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Koenning
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc
TIMKO, LLC; 09/08/2008; NOT RELATED; 5015 SILVER LEAF DR, CUMMINGS, GA 30040; PRESIDENT; THIS IS A PASS-THRU ENTITY ORIGINALLY FORMED TO TAKE ADVANTAGE OF TAX LAW ADVANTAGES OF A CORPORATE ENTITY. NO TAX FILINGS WERE EVER EXECUTED BY THIS LLC; 4 HRS/MO; 0 TRADING; THIS IS AN ACCOUNTING MECHANISM TO PASS-THRU WFG/TFA COMPENSATION.
AMOR REAL MINISTRIES/NO/5070 PLAINSMAN CIRCLE, CUMMING, GA 30028/NON-PROFIT CHRISTIAN MINISTRY. OWNS A WOMEN'S SHELTER & MISSION HOME IN LIMA, PERU. DOES MISSION WORK IN LIMA, PERU. PROVIDES MISSION TRIPS./BOARD OF DIRECTORS/01.01.2017/10/1/ASSIST WITH MISSION TRIPS, SPANISH TRANSLATOR.
AMOR REAL MINISTRIES/NO/5070 PLINSMAN CIR, CUMMING, GA, 30028/NON-PROFIT CHRISTIAN BASED MISSION MINISTRY/BOARD MEMBER/01.01.2017/3/0/TYPICALLY WILL BE INVOLVED WHEN MISSION TEAMS ARE GOING TO PERU. ALSO ASSISTING IN TRANSLATING TO SPANISH.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Charles Koenning's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Charles Koenning'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Past
September 21, 2010 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
DULUTH, GA
Past
September 8, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
JOHNS CREEK, GA
Past
February 5, 2003 - December 31, 2009
AMERICAN WEALTH MANAGEMENT, INC.
RIA
CRD#: 25536
BUFORD, GA
Past
January 9, 1997 - December 31, 2009
AMERICAN WEALTH MANAGEMENT, INC.
BD
CRD#: 25536
BUFORD, GA
Past
July 30, 1994 - January 17, 1997
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
June 24, 1992 - July 15, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 15, 1989 - June 23, 1992
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
May 16, 1988 - August 16, 1989
F.N. WOLF & CO., INC.
BD
CRD#: 13051
Past
February 2, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
Past
December 23, 1986 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Alabama(1/6/2021)
RR
California(2/14/2024)
RR
Florida(1/6/2012)
RR
Georgia(1/6/2012)
IAR
Georgia(1/6/2012)
RR
Idaho(5/9/2024)
RR
New Jersey(7/5/2024)
IAR
New Jersey(7/5/2024)
RR
South Carolina(2/23/2021)
RR
Tennessee(5/20/2020)
IAR
Texas(1/6/2012)
RR
Texas(4/8/2020)
RR
Utah(5/16/2022)
RR
Wisconsin(4/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164Alpharetta, GA 30005TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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