JS
Joseph R. Straus
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CRD#: 3271715
JS
Professional summary
Being a previously registered professional could mean that this person 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.
Joseph Richard Straus III was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 20, 2016 - April 9, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
San Antonio, TX
Past
March 18, 2011 - April 9, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SAN ANTONIO, TX
Past
March 17, 2011 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SAN ANTONIO, TX
Past
October 22, 2002 - March 17, 2011
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SAN ANTONIO, TX
Past
January 28, 2000 - March 17, 2011
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SAN ANTONIO, TX
Past
November 3, 1999 - January 31, 2000
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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 - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
