WC
William T. Cone
RBC CAPITAL MARKETS
Houston, TX
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CRD#: 1171933
WC
Professional summary
William Thomas Cone JR, who also goes by Bill Cone Jr, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Houston, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Cone Jr
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.
(1) GULF STAR PROPERTIES; ADDRESS: 3740 COLONY DR SAN ANTONIO, TX 7823; BUSINESS DESCRIPTION: OIL & GAS PROPERTIES WORKING INTEREST; NOT INVESTMENT RELATED; START DATE: 12/01/2003; CAPACITY: OWNER-PASSIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) BTC IMPORTS; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: IMPORT & SALES OF DECORATIVE ITEMS; NOT INVESTMENT RELATED; START DATE: 01/01/2004; CAPACITY: OWNER-ACTIVE; DUTIES: BUY & SELL DECORATIVE ITEMS FROM ASIA & OTHER FOREIGN PARTS; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) WILLIAM T CONE RENTAL PROPERTIES; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: RENTAL PROPERTIES; NOT INVESTMENT RELATED; START DATE: 09/01/2012; CAPACITY: SOLE PROPRIETOR; DUTIES: BUY, SELL AND RENT HOMES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4) Name of Entity: R T Floyd llc Non-Investment related Address of Entity: 9147 Briar Forest Dr, Houston Texas, 77024 Nature of OBA: LLC partnership that is my wife and I to hold our personal cash stocks and bonds Position/Title/Relationship: Partner Start Date: 02/23/23 Time devoted: less than 1%; 0 time during securities trading hours Duties: Maintaining property, house and land (5) Name of Entity: Ruby Oka LLC Non-Investment Related Address of Entity: 9147 Briar Forest Dr, Houston Texas, 77024 Nature of OBA: LLC partnership that is my wife and I to hold our stocks, bonds and other investment held at RBC Position/Title/Relationship: Partner Start Date: 02/23/23 Time devoted: less than 1%; 1 hour during securities trading hours Duties: Maintaining and investing in opportunities to increase value of the LLC 6) NAME OF ENTITY: Hudson Forest Homeowners Assoc ADDRESS: 154 Sugar Berry Circle, Houston, TX, 77024 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Member of Board of Directors for Home owners START DATE: 03.01.24 CAPACITY: Board of Directors DUTIES: 1 Monthly meeting, will communicate with property management to make sure they handle home owners request and needs HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view William Thomas Cone JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Thomas Cone 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®
NoneExperience
Current
January 2, 2004 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859RIA
BD
CRD#: 31194
Houston, TX
Current
January 2, 2004 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX 77056-3859RIA
BD
CRD#: 31194
Houston, TX
Past
March 29, 1990 - January 6, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HOUSTON, TX
Past
March 29, 1990 - January 6, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 26, 1989 - April 5, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 1, 1988 - June 27, 1989
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
BD
CRD#: 22540
Past
December 17, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
Past
July 24, 1984 - January 12, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
August 30, 1983 - July 25, 1984
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Arkansas(6/10/2021)
RR
California(1/2/2004)
RR
Colorado(1/2/2004)
RR
Connecticut(9/20/2017)
RR
Florida(1/2/2004)
RR
Georgia(11/5/2004)
RR
Hawaii(5/14/2025)
RR
Kentucky(11/4/2004)
RR
Louisiana(8/5/2008)
RR
Maryland(12/4/2018)
RR
Michigan(1/17/2013)
RR
Missouri(4/15/2013)
RR
New Hampshire(11/5/2018)
RR
New Mexico(1/20/2020)
RR
Oklahoma(7/6/2009)
RR
Oregon(2/27/2023)
RR
Pennsylvania(1/2/2004)
RR
Texas(1/2/2004)
IAR
Texas(1/2/2004)
RR
Utah(11/4/2015)
RR
Virginia(12/15/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/15/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
