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JR

James M. Rush

OBERWEIS SECURITIES
Lisle, IL 60532
Some features on this profile are disabled
CRD#: 7032421
JR

Professional summary

James Maxwell Rush, who also goes by James Rush, is a registered financial professional currently at OBERWEIS SECURITIES, INC. located in Lisle, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2019. James has worked at 2 firms and has passed the Series 63, Series 87, Series 86, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Rush

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) - BD

Click below to view James Maxwell Rush'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 16, 2024 - Present

OBERWEIS SECURITIES, INC.

Office #1: 3333 Warrenville Road Suite 500, Lisle, IL 60532
BD
CRD#: 42060
Lisle, IL
Past

August 28, 2019 - September 27, 2024

CRAIG-HALLUM CAPITAL GROUP LLC

BD
CRD#: 121395
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Illinois
(10/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 11/19/2019
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 9/17/2019
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/19/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OBERWEIS SECURITIES, INC.
OBERWEIS BROKERAGE, INC. | OS 2 BROKERAGE, INC. | OBERWEIS.NET, INC. | OBERWEIS.NET | OBERWEIS SECURITIES, INC.

CRD#: 42060 / SEC#: , 8-49679

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
3333 Warrenville Road Suite 500, Lisle, IL 60532
Mailing Address
3333 Warrenville Road Suite 500, Lisle, IL 60532
Phone number
(630) 577-2300
Established
Illinois since 09/24/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OBERWEIS, JAMES WALTERPRESIDENT, DIRECTOR2363059
OBERWEIS, JAMES DONALDSHAREHOLDER350272
HANNEMANN, ERIC VICARYCHIEF FINANCIAL OFFICER, TREASURER3264330
JOYCE, THOMAS PATRICKCHIEF COMPLIANCE OFFICER, SECRETARY5953683

Disclosures

Regulatory Event2

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.

Company Information

OBERWEIS SECURITIES, INC.

CRD#: 42060Lisle, IL 60532

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