Michael 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.
Michael Duane Cone, who also goes by Duane Cone, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2011 - December 31, 2015
KMS FINANCIAL SERVICES, INC.
February 11, 2010 - April 5, 2011
PARKLAND SECURITIES, LLC
July 20, 2007 - December 31, 2009
INSPHERE SECURITIES, INC.
February 17, 2005 - August 9, 2007
EQUITY SERVICES, INC.
November 7, 2000 - October 21, 2004
AVANTAX INVESTMENT SERVICES, INC.
December 4, 1998 - January 14, 2000
AVANTAX INVESTMENT SERVICES, INC.
June 26, 1994 - November 7, 1996
AVANTAX INVESTMENT SERVICES, INC.
March 5, 1992 - February 8, 1993
WADDELL & REED
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
