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JE

Julia Eisenstat

CORMARK SECURITIES (USA) LIMITED
Toronto, M5J2J2
Some features on this profile are disabled
CRD#: 4925912
JE

Professional summary

Julia Eisenstat, who also goes by Julie Eisenstat, is a registered financial professional currently at CORMARK SECURITIES (USA) LIMITED .

Julia is registered as a RR (Registered Representative) and started their career in finance in 2005. Julia has worked at 5 firms and has passed the Series 63, SIE, Series 37, Series 38 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julie Eisenstat

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julia Eisenstat'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®
None

Experience

Current

January 15, 2019 - Present

CORMARK SECURITIES (USA) LIMITED

Office #1: Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, M5J2J2
BD
CRD#: 101000
Toronto,
Past

July 14, 2010 - July 22, 2014

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

July 13, 2010 - July 24, 2014

NBF SECURITIES (USA) CORP.

BD
CRD#: 25541
TORONTO,
Past

February 17, 2009 - June 4, 2010

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
TORONTO,
Past

June 24, 2005 - March 18, 2008

THOMAS WEISEL PARTNERS (USA) INC.

BD
CRD#: 129395
TORONTO, ONTARIO,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/16/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 37
Date: 1/15/2019
Canada Module of the General Securities Registered Representative (With Options Questions)
General Industry/Product Exam
RR
Series 38
Date: 6/23/2005
Canada Module of the General Securities Registered Representative (Without Options Questions)
Principal/Supervisory Exam
RR
Series 24
Date: 5/2/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CORMARK SECURITIES (USA) LIMITED
CORMARK SECURITIES (USA) LIMITED | SPROTT SECURITIES (USA) LIMITED

CRD#: 101000 / SEC#: , 8-52049

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Mailing Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Phone number
(416) 362-7485
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CORMARK SECURITIES INCSHAREHOLDER
EISENSTAT, JULIACHIEF COMPLIANCE OFFICER4925912
LAMACRAFT, SCOTT EMMETTPRESIDENT4059049
LAMPMAN, KARLY MICHELLECHIEF FINANCIAL OFFICER6113306
STREETER, SUSAN JANECHIEF EXECUTIVE OFFICER4801060

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.

Company Information

CORMARK SECURITIES (USA) LIMITED

CRD#: 101000Toronto, M5J2J2

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