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KD

Kendrik J. Dekoning

Some features on this profile are disabled
CRD#: 2415073
KD

Professional summary

Being a previously registered professional could mean that this person 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.

Kendrik Jon Dekoning JR was a registered financial professional .

Kendrik is a previously registered financial professional and started their career in finance in 1993. 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.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

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

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

December 7, 2006 - December 31, 2025

TRANSWESTERN CAPITAL ADVISORS, LLC

RIA
CRD#: 141605
NEWPORT, RI
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

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 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
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 12/16/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DEKONING, KENDRIK JON JRCHIEF COMPLIANCE OFFICER, CEO2415073

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 MARKETS, LLC

CRD#: 149210

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