Elliot Asiatidis
Professional summary
Elliot Asiatidis, who also goes by Elliot George Asiatidis, is a registered financial professional currently at RBC CMA LTD located in New York, New York.
Elliot is registered as a RR (Registered Representative) and started their career in finance in 2006. Elliot has worked at 4 firms and has passed the Series 63, Series 6TO, Series 22TO, Series 82TO, Series 99TO, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elliot Asiatidis's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2021 - Present
RBC CMA LTD
Office #1: 200 Vesey Street 14th Floor, New York, NY 10281October 18, 2021 - October 18, 2022
RBC CAPITAL MARKETS, LLC
September 21, 2007 - March 17, 2008
CETERA WEALTH SERVICES, LLC
December 12, 2006 - June 21, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 10/18/2021
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current 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
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