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NC

Norman L. Cone

Some features on this profile are disabled
CRD#: 2302699
NC

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.

Norman Lawrence Cone, who also goes by Norm L Cone, was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 1993. Norman had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Norm L Cone

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. NAME OF OTHER BUSINESS: OPTIMUM WEALTH FINANCIAL PLANNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: ALL DUTIES ASSOCIATED WITH BEING A FINANCIAL ADVISOR 2. NAME OF OTHER BUSINESS: NORM AND ESTHER CONE REVOCABLE TRUST INVESTMENT RELATED: NO ADDRESS: 5710 PRANCING DEER PL PASO ROBLES CA NATURE OF BUSINESS: TRUST/ ESTATE PLANNING START DATE: 04/2009 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ALONG WITH MY WIFE, WE HAVE PLACED OWNERSHIP OF REAL ESTATE AND SELECT HOLDINGS IN THIS REVOCABLE TRUST 3. NAME OF OTHER BUSINESS: CONE & ASSOCIATES, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: S CORP FOR TAX PURPOSES START DATE: 09/2008 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: WORK DONE IN TANDEM WITH MY ROLE AS FINANCIAL ADVISOR 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/02/1993; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS

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

August 31, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
Paso Robles, CA
Past

August 30, 2023 - December 31, 2024

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
PASO ROBLES, CA
Past

November 23, 2021 - February 25, 2022

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
PASO ROBLES, CA
Past

June 14, 2021 - September 8, 2023

PARK AVENUE INVESTMENT ADVISORY, LLC

RIA
CRD#: 310203
PASO ROBLES, CA
Past

June 14, 2021 - September 7, 2023

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
PASO ROBLES, CA
Past

April 13, 1999 - June 15, 2021

CETERA ADVISORS LLC

RIA
CRD#: 10299
PASO ROBLES, CA
Past

February 7, 1999 - June 15, 2021

CETERA ADVISORS LLC

BD
CRD#: 10299
PASO ROBLES, CA
Past

May 8, 1997 - February 1, 1999

PIM FINANCIAL SERVICES, INC.

BD
CRD#: 10547
SAN MARCOS, CA
Past

February 23, 1993 - April 8, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 23, 1993 - April 8, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

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
IAR
Series 65
Date: 3/24/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 10/3/2008
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/2003
General Securities Principal Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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