Benjamin A. Krimmel

OBERWEIS ASSET MANAGEMENT

Lisle, IL 60532

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CRD#: 4806902

Professional summary

Benjamin Aaron Krimmel, who also goes by Benjamin Krimmel, is a registered financial advisor currently at OBERWEIS ASSET MANAGEMENT INC located in Lisle, Illinois and OBERWEIS SECURITIES, INC. located in Lisle, Illinois.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Benjamin has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin Krimmel

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Aaron Krimmel's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 4, 2024 - Present

OBERWEIS ASSET MANAGEMENT INC

Office #1: 3333 Warrenville Road Suite 500, Lisle, IL 60532

RIA

CRD#: 105471

Lisle, IL

Current

October 3, 2024 - Present

OBERWEIS SECURITIES, INC.

Office #1: 3333 Warrenville Road Suite 500, Lisle, IL 60532

CRD#: 42060

Lisle, IL

Past

June 13, 2011 - September 17, 2024

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

June 13, 2011 - September 17, 2024

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

June 1, 2009 - June 3, 2011

MORGAN STANLEY

RIA

CRD#: 149777

DEERFIELD, IL

Past

June 1, 2009 - June 3, 2011

MORGAN STANLEY

CRD#: 149777

DEERFIELD, IL

Past

November 7, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DEERFIELD, IL

Past

June 10, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DEERFIELD, IL

Past

August 23, 2004 - June 9, 2005

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

June 2, 2004 - August 25, 2004

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

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.

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

Illinois
(10/3/2024)

IAR

Illinois
(10/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/3/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/6/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/8/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/1/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/13/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/18/2008

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

OBERWEIS ASSET MANAGEMENT INC

CRD#: 105471 / SEC#: 801-35657

RIA

Registered Investment Advisory firm - (1/4/1990 Approved)

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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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAM INSTITUTIONAL ADV PART 2 (3/31/2025)

OAM RETAIL ADV PART 2 (3/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin A. Krimmel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Aaron Krimmel's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBERWEIS SECURITIES, INC.

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

U.S. BANCORP INVESTMENTS, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OBERWEIS ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2005

Series 63

Date: 6/7/2004

SIE

Date: 10/1/2018

Series 31

Date: 9/6/2007

Series 7

Date: 12/8/2004

Series 6

Date: 6/1/2004

Series 10

Date: 3/13/2008

Series 9

Date: 1/18/2008

FINRA

Current Firm

OBERWEIS ASSET MANAGEMENT INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OBERWEIS ASSET MANAGEMENT INC

TRUST BUT VERIFY

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