Erik Klefos, financial advisor Houston TX
73 score

Erik Klefos

CRD Number: 1284228
Current Firm: Wunderlich Securities, Inc.

Erik Klefos (CRD# 1284228) is an Investment Advisor Representative working at Wunderlich Securities, Inc. in Houston, TX and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Wunderlich Securities Memphis, TN Dec 2012 - Current 4
Sanders Morris Harris Inc. Houston, TX Mar 1995 - Dec 2012 17
Smh Capital Advisors Inc. Houston, TX Mar 1995 - Dec 2012 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1984
S65 NASAA Investment Advisors Law Examination Jun 1994
S66 NASAA Uniform Combined State Law Examination Jan 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Erik S. Klefos
Phone Number: 901-251-1330
Registered State(s):
  • AZ
  • CA
  • FL
  • GA
  • IL
  • MO
  • NH
  • OH
  • TX
By the Numbers
  • Total Assets Under Management
    1,489
    MILLIONS
  • Total Number of Accounts
    4,309
    ACCOUNTS
  • Average Account Value
    $345,582
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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