Mark D. 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.
Mark Douglas Cone was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1990. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2003 - October 25, 2018
CAUSEWAY CAPITAL MANAGEMENT LLC
September 27, 2001 - October 3, 2014
FORESIDE FUND SERVICES, LLC
October 27, 1997 - May 23, 2001
FAM DISTRIBUTORS, INC.
December 11, 1994 - March 4, 1998
FIRST FUND DISTRIBUTORS, INC.
February 12, 1992 - June 27, 1994
NEUBERGER BERMAN MANAGEMENT LLC
November 16, 1990 - July 30, 1991
HIBBARD BROWN & CO., INC.
Primary Firm SEC Registration
CAUSEWAY CAPITAL MANAGEMENT LLC
CRD#: 113308 / SEC#: 801-60343
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
Current Firm
CAUSEWAY CAPITAL MANAGEMENT LLC
CRD#: 113308 / SEC#: 801-60343
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 255 |
| AUM (Assets Under Management) | $ 42,659,620,720 |
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.
