Efren C. Cleofe
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.
Efren C Cleofe, who also goes by Efren C Cleofe III, Efren C Cleofe, Efren Carino Cleofe III, Efren Carino Cleofe, Efren Carino Iii Cleofe, Efren C Cleofe Iii, was a registered financial professional .
Efren is a previously registered financial professional and started their career in finance in 1985. Efren had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2023 - June 12, 2025
MORGAN STANLEY
December 21, 2022 - June 12, 2025
MORGAN STANLEY
February 1, 2021 - December 19, 2022
SIERRA PACIFIC SECURITIES, LLC
April 2, 2018 - December 12, 2019
AXOS CLEARING LLC
February 12, 2016 - April 13, 2018
HSBC SECURITIES (USA) INC.
February 5, 2016 - April 13, 2018
HSBC SECURITIES (USA) INC.
March 3, 2008 - May 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2004 - February 5, 2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 17, 2004 - October 22, 2004
FAMILY MANAGE LLC
April 21, 2004 - October 22, 2004
FAMILY MANAGEMENT SECURITIES, LLC
May 23, 2002 - January 27, 2004
UBS FINANCIAL SERVICES INC.
December 2, 1992 - January 27, 2004
UBS FINANCIAL SERVICES INC.
June 7, 1988 - October 30, 1992
LEHMAN BROTHERS INC.
July 14, 1987 - April 6, 1988
CITIGROUP GLOBAL MARKETS INC.
August 14, 1986 - June 16, 1987
MORGAN STANLEY DW INC.
November 19, 1985 - September 11, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 9/3/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
