Brett A. Pierson

OBERWEIS ASSET MANAGEMENT

Lisle, IL 60532

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CRD#: 6045792

Professional summary

Brett Allen Pierson is a registered financial advisor currently at OBERWEIS ASSET MANAGEMENT INC located in Lisle, Illinois and OBERWEIS SECURITIES, INC. located in Lisle, Illinois.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Brett has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Allen Pierson'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

May 3, 2021 - Present

OBERWEIS ASSET MANAGEMENT INC

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

RIA

CRD#: 105471

Lisle, IL

Current

April 29, 2021 - Present

OBERWEIS SECURITIES, INC.

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

CRD#: 42060

Lisle, IL

Past

November 19, 2013 - April 20, 2021

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

November 19, 2013 - April 20, 2021

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

August 13, 2012 - October 29, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTHBROOK, IL

Past

May 17, 2012 - October 29, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTHBROOK, 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".

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
(4/29/2021)

IAR

Illinois
(5/3/2021)

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: 8/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/2012

General Securities Representative 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

Brett A. Pierson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Allen Pierson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBERWEIS SECURITIES, INC.

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OBERWEIS ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2012

SIE

Date: 10/1/2018

Series 7

Date: 5/16/2012

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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