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CK

Christopher J. Koning

CWM
Glendora, CA 91741
Some features on this profile are disabled
CRD#: 2681355
CK

Professional summary

Christopher Joseph Koning, who also goes by C J Koning, Christopher J Koning, is a registered financial advisor currently at CWM, LLC located in Glendora, California and CETERA INVESTMENT ADVISERS LLC located in Glendora, California.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

C J Koning | Christopher J Koning

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) - RIA

Click below to view Christopher Joseph Koning's CRS (Customer Relationship Summary).
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

January 3, 2019 - Present

CWM, LLC

Office #1: 180 N. Pennsylvania Ave, Glendora, CA 91741
RIA
CRD#: 155344
Glendora, CA
Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
GLENDORA, CA
Current

January 28, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 180 N Pennsylvania Ave, Glendora, CA 91741
BD
CRD#: 13572
Glendora, CA
Past

October 7, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

October 23, 2017 - September 4, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Edinboro, PA
Past

October 23, 2017 - September 4, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Edinboro, PA
Past

March 9, 2012 - October 24, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
EDINBORO, PA
Past

March 9, 2012 - October 24, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
EDINBORO, PA
Past

May 1, 2003 - March 12, 2012

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
ERIE, PA
Past

May 8, 2002 - March 12, 2012

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
ERIE, PA
Past

December 9, 2000 - May 8, 2002

DREYFUS INVESTMENT SERVICES COMPANY, LLC

BD
CRD#: 17477
PITTSBURGH, PA
Past

August 24, 1998 - December 11, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 17, 1995 - August 12, 1998

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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.
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
Arizona
(1/28/2019)
RR
Arkansas
(1/11/2024)
IAR
California
(1/3/2019)
RR
California
(1/28/2019)
RR
Colorado
(5/31/2019)
RR
Florida
(9/26/2019)
RR
Idaho
(8/20/2021)
RR
Iowa
(8/5/2020)
RR
Louisiana
(6/6/2019)
RR
Montana
(5/5/2022)
RR
Nevada
(3/24/2023)
RR
Ohio
(8/6/2021)
RR
Oregon
(5/31/2023)
RR
Pennsylvania
(1/28/2019)
RR
Texas
(3/23/2020)
IAR
Texas
(2/14/2023)
IAR
Texas
(6/29/2023)
RR
Utah
(6/12/2020)
RR
Washington
(6/12/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/28/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/9/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/4/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Glendora, CA 91741

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