David A. Cone
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.
David Allen Cone, who also goes by Dave Cone, David Allen Cone, David Cone, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2018 - April 18, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2011 - July 9, 2012
TD AMERITRADE, INC.
September 20, 2011 - July 9, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 1, 2011 - July 9, 2012
TD AMERITRADE, INC.
March 25, 2011 - August 29, 2011
FIDELITY BROKERAGE SERVICES LLC
January 14, 2005 - October 13, 2005
ASCENT CAPITAL MANAGEMENT
July 3, 2003 - January 21, 2004
TD AMERITRADE, INC.
December 11, 1991 - January 21, 2004
TD AMERITRADE, INC.
August 19, 1991 - September 26, 1991
NEW ENGLAND SECURITIES
May 2, 1991 - August 2, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 2, 1991 - August 2, 1991
PRUCO SECURITIES, LLC.
August 21, 1989 - January 6, 1990
AESIR SECURITIES, INC.
October 3, 1988 - August 28, 1989
CAPITAL SECURITIES GROUP, INC.
April 20, 1988 - October 25, 1988
POWER SECURITIES CORPORATION
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 9/22/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
