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KD

Kendrik J. Dekoning

TRANSWESTERN CAPITAL ADVISORS
NEWPORT, RI 02840
Some features on this profile are disabled
CRD#: 2415073
KD

Professional summary

Kendrik Jon Dekoning JR is a registered financial advisor currently at TRANSWESTERN CAPITAL ADVISORS, LLC located in Newport, Rhode Island.

Kendrik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kendrik has 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kendrik Jon Dekoning JR'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®
None

Experience

Current

December 7, 2006 - Present

TRANSWESTERN CAPITAL ADVISORS, LLC

Office #1: 37 Bellevue Avenue, Newport, RI 02840
RIA
CRD#: 141605
NEWPORT, RI
Past

January 13, 2010 - June 6, 2025

TRANSWESTERN CAPITAL MARKETS, LLC

BD
CRD#: 149210
Newport, RI
Past

September 18, 2007 - March 17, 2010

LEONARD & COMPANY

BD
CRD#: 36527
TROY, MI
Past

August 29, 2005 - May 22, 2007

GREAT PACIFIC SECURITIES

BD
CRD#: 29251
COSTA MESA, CA
Past

March 22, 1999 - July 27, 2001

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

November 11, 1994 - April 29, 1998

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

October 26, 1993 - November 28, 1994

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL

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".
TC
TRANSWESTERN CAPITAL ADVISORS, LLC
DEKONING AND COMPANY, LLC | TRANSWESTERN CAPITAL ADVISORS, LLC

CRD#: 141605 / SEC#: 801-67113

RIA
Registered Investment Advisory firm - (8/25/2006 Approved)

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
Colorado
(12/7/2006)
IAR
Rhode Island
(2/25/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/19/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/11/2009
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 11/22/2009
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/26/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/21/2009
General Securities Principal Examination

Current Firm

TC
TRANSWESTERN CAPITAL ADVISORS, LLC
DEKONING AND COMPANY, LLC | TRANSWESTERN CAPITAL ADVISORS, LLC

CRD#: 141605 / SEC#: 801-67113

RIA
Registered Investment Advisory firm - (8/25/2006 Approved)
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Contact information

Main Address
37 Bellevue Avenue, Newport, RI 02840
Mailing Address
Phone number
(800) 997-0718
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (5/13/2025)

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 74,116,257

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

TRANSWESTERN CAPITAL ADVISORS, LLC

CRD#: 141605Newport, RI 02840

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