Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Efren? Claim Your ProfileEfren Cleofe is an active investment advisor representative (IAR) with Wealthpenn.comllc. Efren has been in the financial services industry since June 14, 1988. Efren is registered with the state of Nevada and Texas. Prior to joining Wealthpenn.comllc, Efren was associated with Sierra Pacific Securities, LLC, AXOS Clearing LLC, HSBC Securities (USA) Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Goldman Sachs Execution & Clearing, L.P., Family Management Securities, LLC, UBS Financial Services Inc., Lehman Brothers Inc., Smith Barney, Harris Upham & Co., Incorporated, and Dean Witter Reynolds Inc. Efren holds several licenses and certifications including the Series 3, 7, 8, 9, 10, 24, 52, 53, 63 and 65.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NV
01/03/2023 - Present
Wealthpenn.comllc (Las Vegas NV)
NV
02/01/2021 - 12/19/2022
SIERRA PACIFIC SECURITIES, LLC (LAS VEGAS NV)
NE
04/02/2018 - 12/12/2019
AXOS CLEARING LLC (OMAHA NE)
NY
02/05/2016 - 04/13/2018
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
03/03/2008 - 05/11/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/15/2004 - 02/05/2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
04/21/2004 - 10/22/2004
FAMILY MANAGEMENT SECURITIES, LLC (NEW YORK NY)
NJ
12/02/1992 - 01/27/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/07/1988 - 10/30/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/14/1987 - 04/06/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
08/14/1986 - 06/16/1987
DEAN WITTER REYNOLDS INC.
NA
11/19/1985 - 09/11/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 6/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/29/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/1/2021
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/31/2002
Series 24 - General Securities Principal Examination
BC
Issued 9/3/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1993
Series 3 - National Commodity Futures Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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