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CK

Christopher J. Koos

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CRD#: 5904036
CK

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.

Christopher Joseph Koos was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2011. Christopher had worked at 1 firm and has passed the Series 7 exam.

top-8-questions

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

October 26, 2011 - February 17, 2012

DEWAAY FINANCIAL NETWORK, LLC

BD
CRD#: 30767
CLIVE, IA

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

General Industry/Product Exam
RR
Series 7
Date: 10/25/2011
General Securities Representative Examination

Current Firm

DF
DEWAAY FINANCIAL NETWORK, LLC
DEWAAY FINANCIAL NETWORK, INC. | PERRY THOMPSON & GARRETT, INC. | MAXWELL INVESTMENTS,INC. | MAXWELL INVESTMENTS, INC. | DFN PARTNERS, LLC | DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767 / SEC#: , 8-45342

BD
Terminated by SEC on 01/08/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 04/05/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DFN PARTNERS, LLCOWNER
DEWAAY, DONALD GENE JRCHAIRMAN, DEWAAY FINANCIAL NETWORK1297174
IRVING, KRISTI SUSANNECHIEF COMPLIANCE OFFICER5137577
IRVING, KRISTI SUSANNEFINOP5137577

Disclosures

Arbitration5

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

DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767

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