Jonathan D. Straus

COMMONS CAPITAL

Needham, MA 02494

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CRD#: 2839717

Professional summary

Jonathan David Straus, who also goes by Jon D Straus, is a registered financial advisor currently at COMMONS CAPITAL, LLC located in Needham, Massachusetts and LEIGH BALDWIN & CO., LLC located in Cazenovia, New York.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jonathan has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jon D Straus

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.

1 - COMMONS CAPITAL, LLC, START: 07/09/09, 254 SECOND AVENUE SUITE 130 NEEDHAM, MA 02494, RIA, FOUNDING PRINCIPAL, FIXED INSURANCE, INVESTMENT RELATED, 220 HOURS PER MONTH, 10 HOURS PER DAY DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Straus'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®

None

Experience

Current

December 14, 2012 - Present

COMMONS CAPITAL, LLC

Office #1: 254 Second Avenue Suite 130, Needham, MA 02494

RIA

CRD#: 165738

Needham, MA

Current

October 15, 2018 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 112 Albany Street, Cazenovia, NY 13035-0660Office #2: 254 2nd Ave Suite 130, Needham, MA 02494

RIA

CRD#: 38751

Cazenovia, NY

Past

January 3, 2013 - October 4, 2018

MUTUAL SECURITIES, INC.

CRD#: 13092

NEEDHAM, MA

Past

July 16, 2009 - January 7, 2013

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEWTON, MA

Past

July 15, 2009 - December 14, 2012

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEWTON, MA

Past

September 22, 2006 - July 20, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WELLESLEY HILLS, MA

Past

March 8, 2006 - July 20, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WELLESLEY HILLS, MA

Past

February 26, 2004 - March 8, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

May 8, 2003 - March 17, 2004

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

WELLESLEY HILLS, MA

Past

March 9, 2002 - March 17, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

May 19, 1999 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

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".

COMMONS CAPITAL, LLC

COMMONS CAPITAL ADVISORS, LLC | COMMONS CAPITAL, LLC

CRD#: 165738 / SEC#: 801-113208

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (11/12/2018 Terminated)

New York

Registered Investment Advisory firm - (11/12/2018 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

IAR

Massachusetts
(12/14/2012)

Massachusetts
(10/16/2018)

Rhode Island
(10/25/2018)

IAR

Texas
(12/22/2021)

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 66

Date: 2/9/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/26/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/2000

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: 5/18/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

COMMONS CAPITAL, LLC

COMMONS CAPITAL ADVISORS, LLC | COMMONS CAPITAL, LLC

CRD#: 165738 / SEC#: 801-113208

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (11/12/2018 Terminated)

New York

Registered Investment Advisory firm - (11/12/2018 Terminated)

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Contact information

Main Address

254 Second Avenue Suite 130, Needham, MA 02494

Mailing Address

Phone number

(617) 431-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMMONS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/18/2025)

Regulatory assets under management

Total Number of Accounts	648
AUM (Assets Under Management)	$ 246,061,209

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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Advisor Monitoring

Firm Stability Insights

Jonathan D. Straus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan David Straus's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

MUTUAL SECURITIES, INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVEST, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

Primary Firm SEC Registration

COMMONS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2007

Series 65

Date: 9/26/2001

Series 63

Date: 5/1/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1999

Series 24

Date: 5/16/2013

FINRA

Current Firm

COMMONS CAPITAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMMONS CAPITAL, LLC

TRUST BUT VERIFY

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