John Walter Strauss
Professional Summary
John Walter Strauss is a registered financial advisor currently at STRAUSS FINANCIAL GROUP located in Hoover, Alabama. John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. John has worked at 5 firms and has passed the Series 66, Series 63, Series 15, Series 5, Series 3, Series 7, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
STRAUSS FINANCIAL GROUP | STRAUSS WEALTH ADVISORS, LLC | STRAUSS WEALTH ADVISING, INC.
Contact Information
Main Address
1800 International Park Drive Suite 190, Hoover, AL 35243Phone Number
(205) 967-9595# of Employees
6SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
800AUM (Assets Under Management)
$276,000,000Similar Advisors
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OSAIC WEALTH, INC.
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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UNION CAPITAL COMPANY
OSAIC WEALTH, INC.
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Primary Firm SEC Registration
STRAUSS FINANCIAL GROUP | STRAUSS WEALTH ADVISORS, LLC | STRAUSS WEALTH ADVISING, INC.
State Registrations and Notice Filings
(11/25/2020)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Nov 1987Series 5 — Interest Rate Options Examination
Passed Nov 1987Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1987Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view John Walter Strauss's CRS (Customer Relationship Summary).
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