James A. Straus

STRAUS CAPITAL

Princeton Junction, NJ 08550

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CRD#: 4575754

Professional summary

James Andrew Straus is a registered financial advisor currently at STRAUS CAPITAL, LLC located in Princeton Junction, New Jersey.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

NON-EQUITY PARTNER IN SUSSEX PARTNERS SINCE DECEMBER 2011, AN INVESTMENT RELATED BUSINESS IN LONDON, ENGLAND.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Straus's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Andrew Straus's 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

March 30, 2007 - Present

STRAUS CAPITAL, LLC

Office #1: 50 Princeton-hightstown Road, Suite J, Princeton Junction, NJ 08550

RIA

CRD#: 136093

Princeton Junction, NJ

Current

November 28, 2005 - Present

STRAUS CAPITAL, LLC

Office #1: 50 Princeton-hightstown Road, Suite J, Princeton Junction, NJ 08550

RIA

CRD#: 136093

Princeton Junction, NJ

Past

August 12, 2002 - August 12, 2004

HILLVIEW CAPITAL ADVISORS, LLC

RIA

CRD#: 109071

ARDMORE, PA

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 Jersey
(11/29/2005)

IAR

New Jersey
(3/30/2007)

New York
(11/30/2005)

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

Series 63

Date: 11/12/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/6/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/17/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/6/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STRAUS CAPITAL, LLC

STRAUS CAPITAL, LLC | STRAUS, JAMES ANDREW

CRD#: 136093 / SEC#: , 8-66973

New Jersey

Registered Investment Advisory firm - SEC (1/3/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

50 Princeton-hightstown Road Suite J, Princeton Junction, NJ 08550

Mailing Address

50 Princeton-hightstown Road (suite J), Princeton Junction, NJ 08550

Phone number

(609) 799-0390

Established

New Jersey since 04/26/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
STRAUS, JAMES ANDREW	CEO, CCO	4575754
APPELSON, STUART DAVID	FINOP, PRINCIPAL	2176520

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

James A. Straus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Straus's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Andrew Straus's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRAUS CAPITAL, LLC

HILLVIEW CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/2005

Series 65

Date: 8/6/2002

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 4/17/2013

Series 7

Date: 8/6/2005

Series 14

Date: 1/2/2023

Series 24

Date: 10/15/2005

FINRA

Current Firm

STRAUS CAPITAL, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STRAUS CAPITAL, LLC

TRUST BUT VERIFY

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