JO
James W. Oberweis
OBERWEIS ASSET MANAGEMENT
LISLE, IL 60532
Some features on this profile are disabled
CRD#: 2363059
JO
Professional summary
James Walter Oberweis, who also goes by James Walter Overweis, is a registered financial advisor currently at OBERWEIS ASSET MANAGEMENT INC located in Lisle, Illinois and OBERWEIS SECURITIES, INC. located in Lisle, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 87, Series 86, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Walter Overweis
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.
PRESIDENT OF THE OBERWEIS FUNDS, A REGISTERED INVESTMENT COMPANY. WRITE ARTICLES OR COLUMNS FOR PUBLICATION IN FORBES MAGAZINE FROM TIME TO TIME. GENERAL PARTNER TALKA HOLDINGS LLC, PASSIVE REAL ESTATE INVESTMENT. OBERWEIS ASSET MANAGEMENT DIRECTOR & PRESIDENT, OBERWEIS ASSET MANAGEMENT (HONG KONG) DIRECTOR - RESEARCH & ASSET MANAGEMENT SERVICES, OBERWEIS ASSET MANAGEMENT (UK) LIMITED DIRECTOR - RESEARCH SERVICES, BOARD MEMBER - THE OBERWEIS DAIRY.
CRS (Client Relationship Summary) - RIA
Click below to view James Walter Oberweis'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®
NoneExperience
Current
October 14, 1997 - Present
OBERWEIS ASSET MANAGEMENT INC
Office #1: 3333 Warrenville Road Suite 500, Lisle, IL 60532RIA
CRD#: 105471
LISLE, IL
Current
December 23, 1996 - Present
OBERWEIS SECURITIES, INC.
Office #1: 3333 Warrenville Road Suite 500, Lisle, IL 60532Office #2: 3333 Warrenville Road Suite 500, Lisle, IL 60532BD
CRD#: 42060
Lisle, IL
Past
March 12, 1996 - December 31, 1996
THE CHICAGO CORPORATION
BD
CRD#: 1449
CHICAGO, IL
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".
OA
OBERWEIS ASSET MANAGEMENT INC
OBERWEIS ASSET MANAGEMENT INC
CRD#: 105471 / SEC#: 801-35657
RIA
Registered Investment Advisory firm - (1/4/1990 Approved)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
Alabama(5/5/1997)
RR
Alaska(1/2/1997)
RR
Arizona(10/12/2018)
RR
Arkansas(1/7/1997)
RR
California(1/3/2000)
IAR
California(10/27/2023)
RR
Connecticut(3/17/1998)
RR
Delaware(12/18/2023)
RR
District of Columbia(3/20/1998)
RR
Florida(4/8/1997)
RR
Georgia(3/13/1998)
RR
Hawaii(3/23/1998)
RR
Idaho(12/18/2023)
RR
Illinois(1/2/1997)
IAR
Illinois(10/14/1997)
RR
Indiana(1/2/1997)
RR
Iowa(3/27/1998)
RR
Kansas(1/16/1997)
RR
Kentucky(12/15/2023)
RR
Louisiana(3/16/1998)
IAR
Louisiana(10/27/2023)
RR
Maine(1/20/2010)
RR
Maryland(1/3/2018)
RR
Massachusetts(1/3/2000)
RR
Michigan(3/17/1998)
RR
Minnesota(5/7/1997)
RR
Mississippi(3/16/1998)
RR
Montana(1/3/2018)
RR
Nebraska(3/13/1998)
RR
Nevada(1/3/2018)
RR
New Hampshire(3/29/2001)
RR
New Jersey(1/3/2018)
RR
New Mexico(1/8/1997)
RR
New York(3/17/1998)
RR
North Carolina(12/18/2023)
RR
North Dakota(12/18/2023)
RR
Ohio(1/3/1997)
RR
Oklahoma(1/1/1997)
RR
Oregon(12/15/2023)
RR
Pennsylvania(3/17/1998)
RR
Puerto Rico(8/3/2015)
RR
Rhode Island(1/8/1997)
RR
South Carolina(3/16/1998)
RR
South Dakota(2/3/1998)
RR
Texas(1/3/1997)
IAR
Texas(5/8/2006)
RR
Utah(4/27/2023)
RR
Vermont(3/23/1998)
RR
Virginia(12/18/2023)
RR
Washington(3/17/1998)
RR
West Virginia(3/16/1998)
RR
Wisconsin(1/9/1997)
RR
Wyoming(3/19/1998)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OA
OBERWEIS ASSET MANAGEMENT INC
OBERWEIS ASSET MANAGEMENT INC
CRD#: 105471 / SEC#: 801-35657
RIA
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Contact information
Main Address
3333 Warrenville Road Suite 500, Lisle, IL 60532
Mailing Address
Phone number
(630) 577-2300
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110 |
| AUM (Assets Under Management) | $ 3,944,834,354 |
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.
