James D. Oberweis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Donald Oberweis was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1970. James had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 1, Series 12, F04, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1997 - October 20, 2009
OBERWEIS ASSET MANAGEMENT INC
December 23, 1996 - December 11, 2001
OBERWEIS SECURITIES, INC.
November 7, 1994 - December 31, 1996
THE CHICAGO CORPORATION
December 7, 1988 - November 16, 1994
HAMILTON INVESTMENTS, INC.
December 27, 1978 - January 6, 1989
OBERWEIS SECURITIES, INC.
September 4, 1974 - December 25, 1978
AMERIPRISE ADVISOR SERVICES, INC.
February 15, 1973 - September 28, 1974
MULLANEY, WELLS & COMPANY
October 19, 1971 - March 23, 1973
HAMILTON INVESTMENTS, INC.
July 1, 1970 - November 18, 1971
DUPONT GLORE FORGAN
Primary Firm SEC Registration
OBERWEIS ASSET MANAGEMENT INC
CRD#: 105471 / SEC#: 801-35657
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/1/1986
Foreign Currency Options ExaminationSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 1
Date: 6/24/1970
Registered Representative ExaminationSeries 12
Date: 12/19/1994
NYSE Branch Manager ExaminationF04
Date: 12/6/1978
Financial Principal ExaminationSeries 40
Date: 1/14/1972
Registered Principal ExaminationCurrent Firm
OBERWEIS ASSET MANAGEMENT INC
CRD#: 105471 / SEC#: 801-35657
Contact information
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.
