Jason Elstein
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.
Jason Elstein was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2006. Jason had worked at 5 firms and has passed the Series 63, Series 57TO, Series 22TO, Series 99TO, Series 6TO, Series 82TO, SIE, Series 7, Series 39, Series 26, Series 14 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
March 16, 2022 - June 3, 2026
RBC CMA LTD
September 10, 2020 - June 2, 2026
RBC CAPITAL MARKETS, LLC
January 21, 2016 - October 31, 2018
BNP PARIBAS SECURITIES CORP.
October 1, 2008 - November 19, 2010
J.P. MORGAN SECURITIES LLC
March 3, 2006 - October 1, 2008
J.P. MORGAN SECURITIES 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 57TO
Date: 11/20/2025
Securities Trader ExamSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
RBC CMA LTD
CRD#: 121263 / SEC#: , 8-65401
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL OPERATIONS OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| PODYMA, LIDIA ANETA | PRINCIPAL FINANCIAL OFFICER | 5764487 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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