George E. Cones

THIRD SIGMA INVESTMENT ADVISORS LLC

Wilmington, DE 19805

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CRD#: 2477228

Professional summary

George Ernest Cones JR., who also goes by George E Cones, George Cones, is a registered financial advisor currently at THIRD SIGMA INVESTMENT ADVISORS LLC located in Wilmington, Delaware.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. George has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 2 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

George E Cones | George Cones

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)TECHLOGIC- OWNER IT CONSULTING / HARDWARE & SOFTWARE SALES (NOT INVESTMENT RELATED). I WORK AT 1115 MAPLECREST CIRCLE, GLADWYNE, PA 19035. WORK 1.25 HRS/MTH. FIRM BEGAN IN 07/95 (2) 11/1987 GEORGE CONES, ATTORNEY - OWNER; 1.25 HRS PER MTH, 0 BSNS HRS (3) SOLE MEMBER OF 700 N. CLAYTON LLC, INACTIVE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Ernest Cones JR.'s CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 31, 2009 - Present

THIRD SIGMA INVESTMENT ADVISORS LLC

Office #1: 700 North Clayton Street, Wilmington, DE 19805

RIA

CRD#: 151188

Wilmington, DE

Past

September 25, 2007 - September 8, 2009

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

PHILADELPHIA, PA

Past

September 5, 2006 - September 8, 2009

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

PHILADELPHIA, PA

Past

May 23, 2005 - August 29, 2005

TESSERA CAPITAL PARTNERS, LLC

RIA

CRD#: 134958

HAVERFORD, PA

Past

March 3, 2005 - September 2, 2005

XTON FINANCIAL LLC

CRD#: 132847

NEW YORK, NY

Past

November 24, 2004 - April 7, 2005

MAGNA

CRD#: 30935

NEW YORK CITY, NY

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".

THIRD SIGMA INVESTMENT ADVISORS LLC

CRD#: 151188 / SEC#: 801-123568

RIA

Registered Investment Advisory firm - (3/30/2022 Approved)

Delaware

Registered Investment Advisory firm - (4/6/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/1/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Delaware
(9/2/2009)

IAR

Pennsylvania
(9/1/2009)

IAR

Texas
(8/31/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/7/2004

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 4/7/1994

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/2004

General Securities Principal Examination

Current Firm

THIRD SIGMA INVESTMENT ADVISORS LLC

CRD#: 151188 / SEC#: 801-123568

RIA

Registered Investment Advisory firm - (3/30/2022 Approved)

Delaware

Registered Investment Advisory firm - (4/6/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/1/2022 Terminated)

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Contact information

Main Address

700 North Clayton Street, Wilmington, DE 19805

Mailing Address

Phone number

(302) 656-1111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THIRD SIGMA FORM ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 116,223,238

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.

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Advisor Monitoring

Firm Stability Insights

George E. Cones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Ernest Cones JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

TESSERA CAPITAL PARTNERS, LLC

XTON FINANCIAL LLC

MAGNA

Primary Firm SEC Registration

THIRD SIGMA INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2005

Series 63

Date: 11/2/2004

Series 7

Date: 10/7/2004

Series 2

Date: 4/7/1994

Series 24

Date: 12/10/2004

Current Firm

THIRD SIGMA INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THIRD SIGMA INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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