James P. Martin

STRATEGAS ASSET MANAGEMENT

New York, NY 10017

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CRD#: 2710373

Professional summary

James Patrick Martin, CIMA®, who also goes by Jim Martin, is a registered financial advisor currently at STRATEGAS ASSET MANAGEMENT, LLC located in New York, New York and STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Martin

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) - RIA

Click below to view James Patrick Martin's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 15, 2024 - Present

STRATEGAS ASSET MANAGEMENT, LLC

Office #1: 52 Vanderbilt Avenue 19th Floor, New York, NY 10017

RIA

CRD#: 172000

New York, NY

Current

October 15, 2024 - Present

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

Office #1: 52 Vanderbilt Avenue 8th Floor, New York, NY 10017

RIA

CRD#: 149326

New York, NY

Past

June 3, 2021 - October 21, 2024

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

CHARLOTTE, NC

Past

June 3, 2021 - October 21, 2024

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CHARLOTTE, NC

Past

May 13, 2014 - May 3, 2021

RIVERFRONT INVESTMENT GROUP, LLC

RIA

CRD#: 146221

CHARLOTTE, NC

Past

December 2, 2013 - April 30, 2021

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

July 10, 2008 - June 6, 2013

CARILLON FUND DISTRIBUTORS, INC.

CRD#: 139749

ST. PETERSBURG, FL

Past

September 21, 2001 - July 14, 2008

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 18, 2000 - November 27, 2001

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

January 27, 2000 - May 9, 2000

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

February 2, 1998 - August 27, 1999

MENTOR SERVICES COMPANY, LLC

CRD#: 36486

RICHMOND, VA

Past

March 3, 1997 - February 2, 1998

HEARTLAND INVESTOR SERVICES, LLC

CRD#: 29693

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STRATEGAS ASSET MANAGEMENT, LLC

CRD#: 172000 / SEC#: 801-113292

RIA

Registered Investment Advisory firm - (5/25/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/4/2018 Terminated)

New York

Registered Investment Advisory firm - (6/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/4/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(10/15/2024)

North Carolina
(10/15/2024)

IAR

North Carolina
(10/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/12/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/28/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STRATEGAS ASSET MANAGEMENT, LLC

CRD#: 172000 / SEC#: 801-113292

RIA

Registered Investment Advisory firm - (5/25/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/4/2018 Terminated)

New York

Registered Investment Advisory firm - (6/4/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/4/2018 Terminated)

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Contact information

Main Address

52 Vanderbilt Avenue 19th Floor, New York, NY 10017

Mailing Address

Phone number

(855) 273-7227

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGAS ASSET MANAGEMENT FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 148,153,092

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2024	Cover Page	Report
11/15/2023	Cover Page	Report
10/27/2022	Cover Page	Report

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn	6/6/2017

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.

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Firm Stability Insights

James P. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Martin's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

RIVERFRONT INVESTMENT GROUP, LLC

ALPS DISTRIBUTORS, INC.

CARILLON FUND DISTRIBUTORS, INC.

RAYMOND JAMES & ASSOCIATES, INC.

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

LORD ABBETT DISTRIBUTOR LLC

MENTOR SERVICES COMPANY, LLC

HEARTLAND INVESTOR SERVICES, LLC

Primary Firm SEC Registration

STRATEGAS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2014

Series 63

Date: 3/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/28/1997

FINRA

Current Firm

STRATEGAS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Exempt reporting advisers

Red Flags

Company Information

STRATEGAS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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