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RC

Robert K. Costello

Some features on this profile are disabled
CRD#: 824000
RC

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.

Robert Kevin Costello was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 10 firms and has passed the Series 63, Series 65, Series 7, Series 24 and Series 53 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

October 20, 2010 - October 24, 2013

TRANSWESTERN CAPITAL MARKETS, LLC

BD
CRD#: 149210
NEWPORT, RI
Past

April 14, 2009 - May 1, 2018

TRANSWESTERN CAPITAL ADVISORS, LLC

RIA
CRD#: 141605
EVANSTON, IL
Past

May 11, 2004 - August 10, 2006

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
CHICAGO, IL
Past

May 19, 1999 - August 12, 2002

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MEMPHIS, TN
Past

November 11, 1994 - January 27, 1997

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

January 26, 1990 - November 28, 1994

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

September 26, 1985 - March 27, 1986

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

May 20, 1985 - September 12, 1985

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

May 18, 1981 - May 18, 1983

KANNE, PARIS & HOBAN, INC.

BD
CRD#: 6675
Past

June 23, 1976 - March 1, 1977

DERAND/PENNINGTON/BASS, INC.

BD
CRD#: 4679

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
RR
Series 63
Date: 11/4/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/13/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/22/1997
Municipal 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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