Jonathan Elliott has been Co-Founder & Chief Compliance Officer of Optima Capital Management since September 2019, is a control person of the firm and directly owns between 50% and 75% of it. Jonathan Elliott studied W.P. Carey School of Business at Arizona State University.
Optima Capital Management LLC is a Tempe, AZ firm with $150M under management, 215 clients and 4 advisers across 3 offices, as of its April 2026 filing.
Jonathan Elliott is Managing Partner of Optima Capital Management. Jonathan is the team's portfolio manager, developing investment strategies for high-net-worth individuals and business owners and managing discretionary client portfolios on a day-to-day basis. He began his financial services career with Merrill Lynch in 2003, where he served as Market Sales Manager and Senior Resident Director for the Scottsdale West Valley Market in Arizona.
Jonathan Elliott’s longest registration was 16 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2003–2019). Before joining Optima Capital Management in 2019, Jonathan Elliott was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 16 yearsPeoria, AZ · Adviser representative · Firm CRD 7691
Professional designations
Listed by Optima Capital Management
- Certified Private Wealth Advisor® (CPWA®)
- Chartered Retirement Planning Counselor (CRPC®)
- Certified Divorce Financial Analyst (CDFA®)
- Chartered Special Needs Consultant (ChSNC®)
- Certified Plan Fiduciary Advisor (CPFA)
- Retirement Management Advisor (RMA®)
Investment adviser representative registrations
Jonathan Elliott is registered as an investment adviser representative in 2 states. The first approvals date from November 2019; the most recent is Texas, in July 2021.
- ArizonaSince 14 November 2019
- TexasSince 15 July 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 30 August 2011 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 15 November 2010 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 27 September 2010 |
| Series 66 | Uniform Combined State Law Examination | 2 May 2003 |
| Series 7 | General Securities Representative Examination | 9 April 2003 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 4641046
- Firm
- Optima Capital Management · CRD 306036
- Role
- Co-Founder & Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- May 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- optimacapitalmgt.com
Where does Jonathan Elliott work?
Jonathan Elliott has been Co-Founder & Chief Compliance Officer of Optima Capital Management LLC since September 2019, and is a control person of the firm.
Is Jonathan Elliott a financial advisor?
Yes. Jonathan Elliott has a current investment-adviser registration in Arizona and Texas, through Optima Capital Management since November 2019.
How many years of experience does Jonathan Elliott have?
Jonathan Elliott has 23 years in the financial industry, since May 2003, across 2 adviser firms.
What exams has Jonathan Elliott passed?
Jonathan Elliott has passed 5 licensing exams: the Series 7, Series 66, Series 10, Series 9 and Series 31. The earliest, the Series 7, was passed in April 2003. FINRA credited Jonathan Elliott with the SIE, which began in October 2018.
Where did Jonathan Elliott work before Optima Capital Management?
Before Optima Capital Management, Jonathan Elliott was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, May 2003 to October 2019.
Is Jonathan Elliott registered with FINRA?
No. Jonathan Elliott has no current broker registration.
How can I verify Jonathan Elliott’s record?
Search CRD 4641046 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jonathan Elliott’s full registration record.
