JO
James R. Oswald
T2 ASSET MANAGEMENT
NAPERVILLE, IL 60563
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CRD#: 1520633
JO
Professional summary
James Richard Oswald, CFA is a registered financial advisor currently at T2 ASSET MANAGEMENT, LLC located in Naperville, Illinois.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 3 firms and has passed the Series 6 exam.
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.
T2 Asset Management
2 TRANSAM PLAZA DR.
SUITE 200
OAKBROOK TERRACE, IL 60181
IAR
Since 02/2015
Investment Related
Asbury Investment Management
2 TRANSAM PLAZA DR.
SUITE 200
OAKBROOK TERRACE, IL 60181
IAR
Since 04/2019
Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view James Richard Oswald'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®
Experience
Current
February 27, 2015 - Present
T2 ASSET MANAGEMENT, LLC
Office #1: 1952 Mcdowell Rd Suite 101, Naperville, IL 60563RIA
CRD#: 167714
NAPERVILLE, IL
Past
May 16, 2019 - April 17, 2023
ASBURY INVESTMENT MANAGEMENT LLC
RIA
CRD#: 291990
OAKBROOK TERRACE, IL
Past
July 3, 1986 - October 23, 1987
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
TA
T2 ASSET MANAGEMENT, LLC
HAMMOND CAPITAL MANAGEMENT, LTD. | TIMOTIC, DRAGAN | T2 ASSET MANAGEMENT, LLC
CRD#: 167714 / SEC#: 801-112202
RIA
Registered Investment Advisory firm - (12/18/2017 Approved)Florida
Registered Investment Advisory firm - (12/20/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/18/2017 Terminated)Indiana
Registered Investment Advisory firm - (1/3/2018 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2017 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.Highlighted states indicate IAR registrations
IAR
Illinois(2/27/2015)
Exams
General Industry/Product Exam
Current Firm
TA
T2 ASSET MANAGEMENT, LLC
HAMMOND CAPITAL MANAGEMENT, LTD. | TIMOTIC, DRAGAN | T2 ASSET MANAGEMENT, LLC
CRD#: 167714 / SEC#: 801-112202
RIA
Registered Investment Advisory firm - (12/18/2017 Approved)Florida
Registered Investment Advisory firm - (12/20/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/18/2017 Terminated)Indiana
Registered Investment Advisory firm - (1/3/2018 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1952 Mcdowell Rd Suite 101, Naperville, IL 60563
Mailing Address
Phone number
(888) 354-8499
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 830 |
| AUM (Assets Under Management) | $ 165,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
