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Joseph Richard Straus Iii

CRD# 3271715·Registered 1999 - 2024
Previously Registered: Being a previously registered professional could mean that Joseph 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.

Professional Summary

Joseph Richard Straus III was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1999 - 2024. Joseph had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years registered in the securities industry

Current & Past Employments

Past

KESTRA ADVISORY SERVICES, LLCPast·CRD# 283330
RIA
San Antonio, TX
April 20, 2016 - April 9, 2024
KESTRA INVESTMENT SERVICES, LLCPast·CRD# 42046
BD
San Antonio, TX
March 18, 2011 - April 9, 2024
KESTRA INVESTMENT SERVICES, LLCPast·CRD# 42046
RIA
San Antonio, TX
March 17, 2011 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLCPast·CRD# 42046
RIA
San Antonio, TX
October 22, 2002 - March 17, 2011
KESTRA INVESTMENT SERVICES, LLCPast·CRD# 42046
BD
San Antonio, TX
January 28, 2000 - March 17, 2011
LOCUST STREET SECURITIES, INC.Past·CRD# 1703
BD
Des Moines, IA
November 3, 1999 - January 31, 2000

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Current Firm

KA
KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - SEC (12/31/1998 Approved)

Contact Information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Phone Number

(844) 553-7872

# of Employees

1,359

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (9/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

192,439

AUM (Assets Under Management)

$79,798,091,767

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025Cover PageReport
12/23/2024Cover PageReport
10/20/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

BN: Markup LLC Inv Rel: N Addr: 700 Pennsylvania Ave. SE, Second Floor Washington DC 20003 NOB: Brd POS; Consulting Title: Advisory Brd St dt: 1/13/2021 Hrs/mth:(0-16 hrs) Hrs/mth drngtrdg hrs:(0-14hrs) Duts: To advise the company on opps in the state of Texas. BN: IndiGov Corporation Inv Rel: N Addr: 80 M Street SE Washington DC 20003 NOB: Consulting Title: Advisor St dt: 10/1/2020 Hrs/mth:(0-16 hrs) Hrs/mth drngtrdg hrs: (0-14hrs) Duts: adv the comp on opps in the state of Texas. BN: La Cima Partners, LLC Inv Rel: N Addr: 7979 Broadway, Ste 200 San Antonio TX 78209 NOB: Consulting Title: GenPrtnr St dt: 1/8/2019 Hrs/mth: (81-96hrs) Hrs/mth drngtrdg hrs:(71-84hrs) Duts: Advise entities on public policy matters. BN: Medina Management, LLC Inv Rel: N Addr: 446 Canterbury Hill San Antonio TX 78209 NOB: Other/No financl activity. Title: Mngr St dt: 8/21/2020 Hrs/mth:(0-16hrs) Hrs/mth dur trdg hrs:(0-14hrs) Duts: mngr of family real estate Invsts. BN: TVG-Academic Partnerships Holdgs, LLC Inv Rel: N Addr: 600 N. Pearl St. Dallas TX 75201 NOB: Brd Pos Title: Brd Mem St dt: 1/1/2020 Hrs/mth:(0-16hrs) Hrs/mth drngtrdg hrs: (0-14hrs) Duts: Help grow/oversight of org. BN: Texas Biomedical Research Institute Inv Rel: N Addr: 8715 W. Military Drive San Antonio TX 78227 NOB: Brd Pos: Mem, Brd of Trustees St dt: 4/1/2019 Hrs/mth:(0-16 hrs) Hrs/mth drngtrdg hrs:(0-14hrs) Duts: Attend Brd mtngs &aid in oversight of org. BN: Retama Park Association, Inc. Inv Rel: N Addr: 1 Retama Parkway Selma TX 78154 NOB: Brd Pos: Brd Mem St dt: 11/15/2018 Hrs/mth:(0-16 hrs) Hrs/mth drngtrdg hrs:(0-14hrs) Duts: Brd Obligations BN: Kestra Advisory Srvcs, LLC Inv Rel: Yes Add: 5707 SW Pkwy Bldg 2, Ste 400 Austin TX 78735 NOB: Invst Advis srvcs thru Kestra AdvSrvcs, LLCTitle: InvstAdvisorRep St dt: 4/4/2016 Hrs/mth:(160 hrs) Hrs/mth drngtrdg hrs:(160 hrs) Duts: Invst advisory srvcs BN: Joe R Straus III Inv Rel: Y Add: 7979 Broadway, Ste 200 San Antonio TX 78209 NOB: InsuranceTitle: Owner St dt: 1/1/1995 Hrs/mth:(17-32hrs) Hrs/mth drngtrdg hrs:(15-28hrs) Duts: Insurance &Invsts BN: JLS Interests LLC Inv Rel: No Add: PO Box 47535 San Antonio TX 78265 NOB: Real EstateTitle: Mngng Mem St dt: 12/12/2008 Hrs/mth: (0-16 hrs) Hrs/mth drngtrdg hrs:(0-14 hrs) Duts: Real estate Invsts BN: Bennett &Straus, LLC Inv Rel: Yes Add: 7979 Broadway Ste 200 San Antonio TX 78209 NOB: RegRep Activities thru Kestra Invst Srvcs, LLC using a DBA name; Insurance Title: Partner St dt: 8/1/2011 Hrs/mth:(0-16 hrs) Hrs/mth drngtrdg hrs:(15-28hrs) Duts: Insurance partner BN: TEXAS STATE HISTORY MUSEUM FOUNDATION POS: Brd Mem NOB: Brd POS(Brd of Dirctrs, Brd of Trustees, etc.) INV REL: N HRS: 3 SEC TRDG HRS: 3 ST DT: 09/23/2001ADD: 1801 Colorado St., Austin TX 78711, DESC: Promote statewide awareness of The Bob Bullock Texas State History Museum, its programs, &its need for private supp. Actively assist in solcttn of gifts &cultivation of rltnshps w/ potntl &cur donors. Participate in est Foundation's strategic directn &priorities. BN: BROOKINGS INSTITUTION POS: Trustee NOB: Brd POS(Brd of Dirctrs, Brd of Trustees, etc.) INV REL: No HRS: 3 SEC TRDG HRS: 3 ST DT: 09/23/2021ADD: 1775 Massachusetts Ave., NW, Washington DC 20036 DESC: The Brookings Brd of Trustees is a governing body composed of distinguished indvdls frm a variety of bckgrnds. Brd has fiduciary resp for the Institution's leadership, integrity, fin health, &scholarly independence. BN: TEXAS CULTURAL TRUST POS: Brd Mmbr NOB: Brd POS(Brd of Dirctrs, Brd of Trustees, etc.) INV REL: N #OF HRS: 2 SEC TRDNG HRS: 2 STRT DTE: 05/01/2023 ADDR: 901 S Mopac Expessway Barton Oaks Plaza II, Ste 210, Austin TX 78746 DESC: Attend Brd Mtngs &assist in awareness of org. BN: REPUBLICAN STATE LEADERSHIP COMMITTEE POS: Brd Mmbr NOB: Brd POS(Brd of Dirctrs, Brd of Trustees, etc.) INV REL: N #OF HRS: 4 SEC TRAD HRS: 4 STRT DTE: 01/01/2022 ADD: 1201 F St NW, Ste 675, Washington DC 20004 DESC: Attend Brd Mtngs &work on grassroots elctns.

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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".
KA
KESTRA ADVISORY SERVICES, LLC

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CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - SEC (12/31/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2002About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1999About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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