EK
Erik S. Klefos
SANDERS MORRIS LLC
Houston, TX 77002
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CRD#: 1284228
EK
Professional summary
Erik Syver Klefos is a registered financial advisor currently at SANDERS MORRIS LLC located in Houston, Texas.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Erik has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Syver Klefos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erik Syver Klefos's 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®
NoneExperience
Current
May 9, 2017 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002Office #2: 600 Travis Suite 5900, Houston, TX 77002-3003RIA
BD
CRD#: 20580
Houston, TX
Current
May 6, 2017 - Present
SANDERS MORRIS LLC
Office #1: 600 Travis Suite 5900, Houston, TX 77002Office #2: 600 Travis Suite 5900, Houston, TX 77002-3003RIA
BD
CRD#: 20580
Houston, TX
Past
December 14, 2012 - May 8, 2017
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
HOUSTON, TX
Past
December 14, 2012 - May 8, 2017
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
HOUSTON, TX
Past
February 9, 2007 - December 17, 2012
SANDERS MORRIS LLC
RIA
CRD#: 20580
HOUSTON, TX
Past
March 21, 1995 - December 17, 2012
SANDERS MORRIS LLC
BD
CRD#: 20580
HOUSTON, TX
Past
January 1, 1991 - April 8, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 17, 1989 - January 1, 1991
ROTAN MOSLE INC.
BD
CRD#: 727
Past
May 14, 1988 - November 25, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 26, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
SM
SANDERS MORRIS LLC
CUMMER MOYERS FINANCIAL SERVICES | SMH PARTNERS | SMH COLORADO | SMH CAPITAL INC. | SMH CAPITAL ADVISORS, LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS, LLC | SANDERS MORRIS MUNDY INC. | SANDERS MORRIS LLC | SANDERS MORRIS HARRIS LLC | SANDERS MORRIS HARRIS INC. | SANDERS MORRIS HARRIS | SANDERS MORRIS & MUNDY INC. | SANDERS MORRIS | KISSINGER FINANCIAL SERVICES
CRD#: 20580 / SEC#: 801-66300, 8-38325
RIA
Registered Investment Advisory firm - SEC (3/30/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/9/2017)
RR
Alaska(5/9/2017)
RR
Arizona(5/9/2017)
RR
Arkansas(5/10/2017)
RR
California(5/8/2017)
RR
Colorado(5/15/2017)
RR
Connecticut(5/9/2017)
RR
Delaware(5/17/2017)
RR
District of Columbia(5/11/2017)
RR
Florida(5/8/2017)
RR
Georgia(5/17/2017)
RR
Hawaii(5/9/2017)
RR
Idaho(5/9/2017)
RR
Illinois(5/8/2017)
RR
Indiana(5/10/2017)
RR
Iowa(5/9/2017)
RR
Kansas(5/18/2017)
RR
Kentucky(5/10/2017)
RR
Louisiana(5/11/2017)
RR
Maine(5/8/2017)
RR
Maryland(5/8/2017)
RR
Massachusetts(5/10/2017)
RR
Michigan(5/10/2017)
RR
Minnesota(5/16/2017)
RR
Mississippi(5/17/2017)
RR
Missouri(5/9/2017)
RR
Montana(5/8/2017)
RR
Nevada(5/17/2017)
RR
New Hampshire(5/9/2017)
RR
New Jersey(5/10/2017)
RR
New Mexico(5/9/2017)
RR
New York(6/5/2017)
RR
North Carolina(5/9/2017)
RR
North Dakota(5/18/2017)
RR
Ohio(5/9/2017)
RR
Oklahoma(5/9/2017)
RR
Oregon(5/15/2017)
RR
Pennsylvania(5/9/2017)
RR
Puerto Rico(5/10/2017)
RR
Rhode Island(5/10/2017)
RR
South Carolina(5/9/2017)
RR
South Dakota(5/10/2017)
RR
Tennessee(10/9/2018)
RR
Texas(5/9/2017)
IAR
Texas(5/9/2017)
RR
Utah(5/8/2017)
RR
Vermont(5/10/2017)
RR
Virgin Islands(5/22/2017)
RR
Virginia(5/10/2017)
RR
Washington(5/11/2017)
RR
West Virginia(5/16/2017)
RR
Wisconsin(5/9/2017)
RR
Wyoming(5/19/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/23/1991
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SM
SANDERS MORRIS LLC
CUMMER MOYERS FINANCIAL SERVICES | SMH PARTNERS | SMH COLORADO | SMH CAPITAL INC. | SMH CAPITAL ADVISORS, LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS, LLC | SANDERS MORRIS MUNDY INC. | SANDERS MORRIS LLC | SANDERS MORRIS HARRIS LLC | SANDERS MORRIS HARRIS INC. | SANDERS MORRIS HARRIS | SANDERS MORRIS & MUNDY INC. | SANDERS MORRIS | KISSINGER FINANCIAL SERVICES
CRD#: 20580 / SEC#: 801-66300, 8-38325
RIA
Registered Investment Advisory firm - SEC (3/30/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
600 Travis Suite 5900, Houston, TX 77002-3003
Mailing Address
600 Travis Suite 5900, Houston, TX 77002-3003
Phone number
(713) 250-4222
Established
Texas since 09/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
28
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TECTONIC FINANCIAL, INC. | PARENT COMPANY | |
| BALL, GEORGE LESTER | REGISTERED ASSOCIATE | 11332 |
| BLOCK, DAVID WILLIAM | OPERATIONS MANAGER | 2327799 |
| KUEBLER, ERICK GEORGE REVELLE | MANAGER, PRESIDENT | 2319437 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| MANGOLD, STEPHEN MICHAEL | CHIEF EXECUTIVE OFFICER | 2359974 |
| MANGOLD, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 2359974 |
| SHERMAN, ARTHUR HAAG | MANAGER | 2813406 |
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 991,714,376 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
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
SANDERS MORRIS LLC
CRD#: 20580Houston, TX 77002TRUST BUT VERIFY
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