Julia Eisenstat
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Julia Eisenstat, who also goes by Julie Eisenstat, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 2005. Julia had worked at 5 firms and has passed the Series 63, SIE, Series 37, Series 38 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2019 - January 2, 2026
CORMARK SECURITIES (USA) LIMITED
July 14, 2010 - July 22, 2014
NATIONAL BANK OF CANADA FINANCIAL INC.
July 13, 2010 - July 24, 2014
NBF SECURITIES (USA) CORP.
February 17, 2009 - June 4, 2010
RBC CAPITAL MARKETS, LLC
June 24, 2005 - March 18, 2008
THOMAS WEISEL PARTNERS (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 37
Date: 1/15/2019
Canada Module of the General Securities Registered Representative (With Options Questions)Series 38
Date: 6/23/2005
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
CORMARK SECURITIES (USA) LIMITED
CRD#: 101000 / SEC#: , 8-52049
Contact information
FINRA licenses (21 States and Territories)
Documents
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.
