Jonathan Elliott
CPWA®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 Tempe, 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jonathan Elliott, Jonathan Michael Elliott
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
23 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
OPTIMA CAPITAL MANAGEMENT | OPTIMA WEALTH MANAGEMENT | OPTIMA CAPITAL MANAGEMENT LLC
Contact Information
Main Address
222 S Mill Ave Ste 800, Tempe, AZ 85281Phone Number
(480) 757-9052# of Employees
4SEC notice filing (22 States and Territories)
Registered to provide investment advisory services in 22 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
427AUM (Assets Under Management)
$150,319,761Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
OPTIMA CAPITAL MANAGEMENT | OPTIMA WEALTH MANAGEMENT | OPTIMA CAPITAL MANAGEMENT LLC
State Registrations and Notice Filings
(11/14/2019)
(7/15/2021)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2010About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2010About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Elliott's CRS (Customer Relationship Summary).
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