JE
Jonathan Elliott
OPTIMA CAPITAL MANAGEMENT
Scottsdale, AZ 85251
Some features on this profile are disabled
CRD#: 4641046
JE
Professional summary
Jonathan Elliott, CPWA®, who also goes by Jonathan Elliott, Jonathan Michael Elliott, is a registered financial advisor currently at OPTIMA CAPITAL MANAGEMENT located in Scottsdale, Arizona.
Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Jonathan has worked at 2 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan Elliott | Jonathan Michael Elliott
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.
Jonathan Elliott holds an insurance license from the State of Arizona. Mr. Elliott is not affiliated with any insurance company or agency.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Elliott's 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®
CPWA®
Start date: 2016-08-19
Expire date: 2024-07-31
Experience
Current
November 14, 2019 - Present
OPTIMA CAPITAL MANAGEMENT
Office #1: 7014 E Camelback Road Suite B100a, Scottsdale, AZ 85251Office #2: 222 S Mill Ave Ste 800, Tempe, AZ 85281RIA
CRD#: 306036
Scottsdale, AZ
Past
May 6, 2003 - October 8, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PEORIA, AZ
Past
April 11, 2003 - October 8, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PEORIA, AZ
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".
OC
OPTIMA CAPITAL MANAGEMENT
OPTIMA CAPITAL MANAGEMENT | OPTIMA WEALTH MANAGEMENT | OPTIMA CAPITAL MANAGEMENT LLC
CRD#: 306036 / SEC#: 801-131999
RIA
Registered Investment Advisory firm - (2/18/2025 Approved)Arizona
Registered Investment Advisory firm - (2/24/2025 Terminated)California
Registered Investment Advisory firm - (3/26/2025 Terminated)Illinois
Registered Investment Advisory firm - (2/18/2025 Terminated)Kansas
Registered Investment Advisory firm - (2/24/2025 Terminated)Kentucky
Registered Investment Advisory firm - (2/25/2025 Terminated)Louisiana
Registered Investment Advisory firm - (2/24/2025 Terminated)Minnesota
Registered Investment Advisory firm - (2/24/2025 Terminated)Missouri
Registered Investment Advisory firm - (2/28/2024 Cancelled)New Jersey
Registered Investment Advisory firm - (2/27/2025 Terminated)North Carolina
Registered Investment Advisory firm - (2/27/2025 Terminated)Ohio
Registered Investment Advisory firm - (2/24/2025 Terminated)Texas
Registered Investment Advisory firm - (2/24/2025 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(11/14/2019)
IAR
Texas(7/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OC
OPTIMA CAPITAL MANAGEMENT
OPTIMA CAPITAL MANAGEMENT | OPTIMA WEALTH MANAGEMENT | OPTIMA CAPITAL MANAGEMENT LLC
CRD#: 306036 / SEC#: 801-131999
RIA
Registered Investment Advisory firm - (2/18/2025 Approved)Arizona
Registered Investment Advisory firm - (2/24/2025 Terminated)California
Registered Investment Advisory firm - (3/26/2025 Terminated)Illinois
Registered Investment Advisory firm - (2/18/2025 Terminated)Kansas
Registered Investment Advisory firm - (2/24/2025 Terminated)Kentucky
Registered Investment Advisory firm - (2/25/2025 Terminated)Louisiana
Registered Investment Advisory firm - (2/24/2025 Terminated)Minnesota
Registered Investment Advisory firm - (2/24/2025 Terminated)Missouri
Registered Investment Advisory firm - (2/28/2024 Cancelled)New Jersey
Registered Investment Advisory firm - (2/27/2025 Terminated)North Carolina
Registered Investment Advisory firm - (2/27/2025 Terminated)Ohio
Registered Investment Advisory firm - (2/24/2025 Terminated)Texas
Registered Investment Advisory firm - (2/24/2025 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
222 S Mill Ave Ste 800, Tempe, AZ 85281
Mailing Address
Phone number
(480) 757-9052
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 340 |
| AUM (Assets Under Management) | $ 116,525,671 |
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.
