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KD

Kendrik Jon Dekoning Jr

CRD# 2415073·Registered 1993 - 2025
Previously Registered: Being a previously registered professional could mean that Kendrik is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Kendrik Jon Dekoning JR was a registered financial advisor. Kendrik was a previously registered financial professional and started their career in finance 1993 - 2025. Kendrik had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 6, Series 7, Series 14, Series 28, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

TRANSWESTERN CAPITAL MARKETS, LLC·CRD# 149210
BD
Newport, RI
January 13, 2010 - June 6, 2025
LEONARD & COMPANY·CRD# 36527
BD
Troy, MI
September 18, 2007 - March 17, 2010
TRANSWESTERN CAPITAL ADVISORS, LLC·CRD# 141605
RIA
Newport, RI
December 7, 2006 - December 31, 2025
GREAT PACIFIC SECURITIES·CRD# 29251
BD
Costa Mesa, CA
August 29, 2005 - May 22, 2007
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
March 22, 1999 - July 27, 2001
ABN AMRO INCORPORATED·CRD# 15776
BD
Stamford, CT
November 11, 1994 - April 29, 1998
LASALLE FINANCIAL SERVICES, INC.·CRD# 20373
BD
Chicago, IL
October 26, 1993 - November 28, 1994

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Current Firm

TC
TRANSWESTERN CAPITAL MARKETS, LLC

BBW CAPITAL MARKETS | TRANSWESTERN CAPITAL MARKETS, LLC | DE KONING CAPITAL MARKETS, LLC

CRD#: 149210 / SEC#: 8-68124
BD
Terminated by SEC on 06/06/2025

Contact Information

Established

Colorado since 12/16/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
DEKONING, KENDRIK JON JRCHIEF COMPLIANCE OFFICER, CEO2415073

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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.

BUSINESS: DE KONING & COMPANY, LLC INVESTMENT RELATED: YES ADDRESS: 155 S MADISON SUITE 210 DENVER, CO 80209 BUSINESS NATURE: BROKER DEALER TITLE: CEO START DATE: 12/2006 HOURS DEVOTED PER MONTH: 80 HRS HOURS DEVOTED PER TRADING DAY: 4 DUTIES: SENIOR BANK RELATIONSHIP MANAGER. BUSINESS: TRANSWESTERN CAPITAL ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: 155 S MADISON SUITE 210 DENVER, CO 80209 BUSINESS NATURE: INVESTMENT ADVISORY SERVICES TITLE: PRES/CCO START DATE: 12/2006 HOURS DEVOTED PER MONTH: 100 HRS DUTIES: INVESTMENT ADVISOR, CCO

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2006About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Mar 2009About the Series 6 exam

Series 7 — General Securities Representative Examination

Passed Nov 1993About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Nov 2009About the Series 28 exam

Series 53 — Municipal Securities Principal Examination

Passed Sep 2009About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Aug 2009About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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