John A. Straus
NEW EDGE WEALTH
Stamford, CT 06902
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CRD#: 5158258
Professional summary
John Alexander Straus JR., CFP®, who also goes by John Alexander Straus, is a registered financial advisor currently at NEW EDGE WEALTH located in Stamford, Connecticut and NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. John has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Alexander 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) NEWEDGE WEALTH ~INVESTMENT RELATED~STAMFORD, CONNECTICUT, 06852~INVESTMENT ADVISOR REPRESENTATIVE~DECEMBER 2020~80HRS PER MONTH~80HRS PER MONTH DURING MARKET~FINANCIAL SERVICES TO HIGH NET WORTH INDIVIDUALS 2.TPG Financial*Yes Invest*We are compensated for recommending insurance.*1hr permnth/trade*12/21/22*Franklin, TN 3.The Sammons 2023 Management Trust*The main power of the Trust Protector is to remove and replace the Investment Advisor, the Distribution Advisor, and the Trustee. However, this authority only really kicks in the situation where both of you are either deceased or incapacitated and the respective separate share trusts for your children are created, and the child for whom the trust was created is under the age of 35. Other than this power to remove and replace fiduciaries, the authorities of the Trust Protector are limited to (i) the power to veto a decision by the Distribution Advisor to make an administrative amendment to the trust (ii) the power to veto a decision by the Distribution Advisor to move the state of administration of the trust and (iii) the power to negotiate fee arrangements with the Investment Advisor, Distribution Advisor and Trustee, to the extent necessary. Finally, once the separate share trusts are created for your children, the Trust Protector would receive annual accountings from the Trustee as long as the child beneficiary is under the age of 35 - this would be largely procedural, as the Trust Protector is basically going to be the Trustee's boss by virtue of the power to remove and replace the Trustee.*No Invest*0 Hours*6/1/23
CRS (Client Relationship Summary) - RIA
Click below to view John Alexander Straus JR.'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®
CFP®
Start date: 2014
Experience
Current
December 11, 2020 - Present
NEW EDGE WEALTH
Office #1: 2200 Atlantic Street Suite 200, Stamford, CT 06902RIA
CRD#: 307771
Stamford, CT
Current
December 11, 2020 - Present
NEWEDGE SECURITIES, LLC
Office #1: 2200 Atlantic Street 2nd Fl South, Stamford, CT 06902Office #2: 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235BD
CRD#: 10674
Stamford, CT
Past
July 9, 2012 - December 22, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
September 24, 2010 - December 22, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
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".
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)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.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
Arizona(12/11/2020)
RR
California(12/11/2020)
RR
Colorado(12/11/2020)
RR
Connecticut(12/11/2020)
IAR
Connecticut(12/11/2020)
RR
Delaware(12/11/2020)
RR
District of Columbia(12/11/2020)
RR
Florida(12/11/2020)
RR
Georgia(1/2/2024)
RR
Idaho(1/2/2025)
RR
Illinois(12/11/2020)
RR
Kentucky(12/11/2020)
RR
Maine(12/11/2020)
RR
Maryland(12/11/2020)
RR
Massachusetts(12/11/2020)
RR
Michigan(1/3/2023)
RR
Missouri(12/11/2020)
RR
Nevada(12/11/2020)
RR
New Hampshire(4/3/2024)
RR
New Jersey(12/11/2020)
RR
New Mexico(1/3/2023)
RR
New York(12/11/2020)
RR
North Carolina(12/11/2020)
RR
Oregon(12/11/2020)
RR
Pennsylvania(12/11/2020)
RR
Puerto Rico(2/25/2025)
RR
Rhode Island(12/11/2020)
RR
South Carolina(12/11/2020)
RR
South Dakota(12/11/2020)
RR
Tennessee(12/11/2020)
RR
Texas(12/11/2020)
IAR
Texas(12/11/2020)
RR
Utah(1/3/2023)
RR
Vermont(12/11/2020)
RR
Virginia(12/11/2020)
RR
Washington(12/11/2020)
RR
Wisconsin(12/11/2020)
RR
Wyoming(12/11/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NE
NEW EDGE WEALTH
NEW EDGE WEALTH | NEWEDGE WEALTH, LLC | NEWEDGE INVESTMENT SOLUTIONS | NEW EDGE WEALTH LLC
CRD#: 307771 / SEC#: 801-118291
RIA
Registered Investment Advisory firm - (3/25/2020 Approved)Maryland
Registered Investment Advisory firm - (2/28/2020 Terminated)North Carolina
Registered Investment Advisory firm - (2/25/2020 Terminated)South Dakota
Registered Investment Advisory firm - (2/24/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (2/24/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2200 Atlantic Street Suite 200, Stamford, CT 06902
Mailing Address
Phone number
(203) 424-2262
Established
Firm type
Fiscal year end
# of Employees
152
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,680 |
| AUM (Assets Under Management) | $ 12,064,984,416 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 01/27/2023 | ||
| 07/28/2022 |
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.
