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JS

James A. Straus

STRAUS CAPITAL
Princeton Junction, NJ 08550
Some features on this profile are disabled
CRD#: 4575754
JS

Professional summary

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

James is registered as a 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"?
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.
The advisor shows no other business activity.

Blog Corner

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

November 28, 2005 - Present

STRAUS CAPITAL, LLC

Office #1: 50 Princeton-hightstown Road, Suite J, Princeton Junction, NJ 08550
BD
CRD#: 136093
Princeton Junction, NJ
Past

March 30, 2007 - December 11, 2025

STRAUS CAPITAL, LLC

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.

RR
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

RR
New Jersey
(11/29/2005)
RR
New York
(11/30/2005)

Exams

State Security Law Exam
RR
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
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/17/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STRAUS CAPITAL, LLC
STRAUS CAPITAL, LLC | STRAUS, JAMES ANDREW

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

BD
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
1

FINRA licenses (2 States and Territories)

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Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
STRAUS, JAMES ANDREWCEO, CCO4575754
APPELSON, STUART DAVIDFINOP, PRINCIPAL2176520

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.

Company Information

STRAUS CAPITAL, LLC

CRD#: 136093Princeton Junction, NJ 08550

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