Orlo B. Elfes
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.
Orlo B Elfes, who also goes by Orlo B Elfes III, Orlo B Elfes, Orlo B Elfes III Iii, was a registered financial professional .
Orlo is a previously registered financial professional and started their career in finance in 1992. Orlo had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2020 - December 31, 2023
TRIAGEN WEALTH MANAGEMENT LLC
December 12, 2008 - May 27, 2020
UBS FINANCIAL SERVICES INC.
December 12, 2008 - May 27, 2020
UBS FINANCIAL SERVICES INC.
April 2, 2007 - December 16, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 16, 2008
MORGAN STANLEY & CO. LLC
July 8, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
July 23, 1992 - April 2, 2007
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRIAGEN WEALTH MANAGEMENT LLC
CRD#: 308457 / SEC#: 801-118681
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 7TO
Date: 7/25/2022
General Securities Representative ExaminationCurrent Firm
TRIAGEN WEALTH MANAGEMENT LLC
CRD#: 308457 / SEC#: 801-118681
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,422 |
| AUM (Assets Under Management) | $ 473,557,825 |
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.
