Brede C. Klefos

SANDERS MORRIS LLC

Houston, TX 77002

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CRD#: 704008

Professional summary

Brede Currier Klefos is a registered financial advisor currently at SANDERS MORRIS LLC located in Houston, Texas.

Brede is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Brede has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 10, Series 9, Series 24 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.

1)U.S. FUND FOR UNICEF, 2)NOT INVESTMENT RELATED, 3)520 POST OAK BLVD STE 280 HOUSTON TX 77027, 4)NON PROFIT, 5)HONORARY TIRLE CHAIRMAN EMRESTUS, 6)1985, 7)3 HR PER MONTH, 8)0 HR DURING SECURITIES TRADING, 9) NONE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brede Currier Klefos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brede Currier Klefos'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

May 5, 2017 - Present

SANDERS MORRIS LLC

Office #1: 600 Travis Suite 5900, Houston, TX 77002Office #2: 600 Travis Suite 5900, Houston, TX 77002-3003

RIA

CRD#: 20580

Houston, TX

Current

May 5, 2017 - Present

SANDERS MORRIS LLC

Office #1: 600 Travis Suite 5900, Houston, TX 77002Office #2: 600 Travis Suite 5900, Houston, TX 77002-3003

RIA

CRD#: 20580

Houston, TX

Past

December 17, 2012 - May 8, 2017

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

HOUSTON, TX

Past

December 17, 2012 - May 8, 2017

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

HOUSTON, TX

Past

June 26, 2006 - December 14, 2012

SANDERS MORRIS LLC

RIA

CRD#: 20580

HOUSTON, TX

Past

June 14, 1996 - December 31, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

HOUSTON, TX

Past

June 14, 1996 - December 14, 2012

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

July 31, 1993 - July 8, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 11, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 19, 1980 - April 11, 1988

E. F. HUTTON & COMPANY INC

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".

SANDERS MORRIS LLC

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

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.

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

Alabama
(5/8/2017)

Alaska
(5/5/2017)

Arizona
(5/8/2017)

Arkansas
(5/5/2017)

California
(5/5/2017)

Colorado
(5/5/2017)

Connecticut
(5/8/2017)

Delaware
(5/5/2017)

District of Columbia
(5/5/2017)

Florida
(5/5/2017)

Georgia
(5/5/2017)

Hawaii
(5/5/2017)

Idaho
(5/5/2017)

Illinois
(5/5/2017)

Indiana
(5/5/2017)

Iowa
(5/5/2017)

Kansas
(5/5/2017)

Kentucky
(5/8/2017)

Louisiana
(5/8/2017)

Maine
(5/8/2017)

Maryland
(5/5/2017)

Massachusetts
(5/8/2017)

Michigan
(5/8/2017)

Minnesota
(5/8/2017)

Mississippi
(5/5/2017)

Missouri
(5/8/2017)

Montana
(5/5/2017)

Nebraska
(5/8/2017)

Nevada
(5/5/2017)

New Hampshire
(5/8/2017)

New Jersey
(5/5/2017)

New Mexico
(5/5/2017)

New York
(5/5/2017)

North Carolina
(5/9/2017)

North Dakota
(5/5/2017)

Ohio
(5/9/2017)

Oklahoma
(5/5/2017)

Oregon
(5/8/2017)

Pennsylvania
(5/8/2017)

Puerto Rico
(5/5/2017)

Rhode Island
(5/5/2017)

South Carolina
(5/5/2017)

South Dakota
(5/5/2017)

Tennessee
(4/19/2023)

Texas
(5/5/2017)

IAR

Texas
(5/5/2017)

Utah
(5/8/2017)

Vermont
(5/8/2017)

Virgin Islands
(5/5/2017)

Virginia
(5/8/2017)

Washington
(5/5/2017)

West Virginia
(5/5/2017)

Wisconsin
(5/8/2017)

Wyoming
(5/5/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/5/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 8/25/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

SANDERS MORRIS LLC

CRD#: 20580 / SEC#: 801-66300, 8-38325

RIA

Registered Investment Advisory firm - SEC (3/30/2006 Approved)

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

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - MANAGED ASSET PROGRAM (MAP) WRAP FEE PROGRAM BROCHURE (3/24/2025)

FORM ADV PART 2A-INVESTMENT ADVISORY SERVICES BROUCHURE (3/24/2025)

FORM ADV PART 2A APPENDIX 1 - FOCUS ASSET MANAGEMENT PROGRAM (3/24/2025)

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 COMPLIANCE OFFICER	2359974
MANGOLD, STEPHEN MICHAEL	CHIEF EXECUTIVE 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.

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Advisor Monitoring

Firm Stability Insights

Brede C. Klefos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brede Currier Klefos's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brede Currier Klefos's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDERS MORRIS LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

SANDERS MORRIS LLC

SMH CAPITAL ADVISORS LLC

SANDERS MORRIS LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SANDERS MORRIS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/1994

Series 63

Date: 2/4/1980

SIE

Date: 10/1/2018

Series 5

Date: 10/5/1981

Series 7

Date: 1/19/1980

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 2/28/1997

Series 8

Date: 8/25/1988

FINRA

Current Firm

SANDERS MORRIS LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SANDERS MORRIS LLC

TRUST BUT VERIFY

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