John A. Straus
Professional summary
John A Straus, who also goes by John Alexander Straus, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Stamford, Connecticut.
John is registered as a RR (Registered Representative) and started their career in finance in 1981. John has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 52, Series 4, Series 24, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John A Straus's CRS (Customer Relationship Summary).
Certified licenses
Experience
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 15222-4235Office #3: 4315 Kingston Pike, Suite 210, Knoxville, TN 37919July 20, 2015 - November 22, 2019
PWP SECURITIES LLC
December 21, 2012 - December 19, 2014
CAROLINA FINANCIAL SECURITIES, LLC
October 26, 2006 - September 1, 2010
UBS FINANCIAL SERVICES INC.
September 28, 2000 - March 18, 2005
J.P. MORGAN SECURITIES INC.
December 17, 1987 - February 10, 2000
MORGAN STANLEY & CO. LLC
June 3, 1982 - November 9, 1987
SALOMON BROTHERS INC.
May 19, 1981 - March 22, 1982
MATTHEWS & WRIGHT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/14/2020)
(12/14/2020)
Exams
Series 8
Date: 8/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
Red Flags
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