James Oberweis has been Chairman, President, Shareholder and Director of Oberweis Asset Management since November 1994, is a control person of the firm and directly owns between 50% and 75% of it.
Oberweis Asset Management Inc is a Lisle, IL firm with $5.06B under management, 108 clients and 17 advisers in one office, as of its September 2026 filing.
- – present · 29 yearsLisle, IL · Adviser representative · Firm CRD 105471
Investment adviser representative registrations
James Oberweis is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from October 1997; the most recent is California, in October 2023.
- CaliforniaSince 27 October 2023
- IllinoisSince 14 October 1997
- TexasResidentSince 8 May 2006
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 13 July 2016 |
| Series 86 | Research Analyst Exam - Part I Analysis Module | 12 July 2016 |
| Series 27 | Financial and Operations Principal Examination | 15 September 2000 |
| Series 24 | General Securities Principal Examination | 28 October 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 March 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 March 1996 |
| Series 7 | General Securities Representative Examination | 11 March 1996 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Research Analyst Exam - Part I Analysis Module
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Walter Oberweis
- CRD
- 2363059
- Firm
- Oberweis Asset Management · CRD 105471
- Role
- Chairman, President, Shareholder and Director
- Office
- 3333 WARRENVILLE ROAD, SUITE 500, Lisle, IL 60532
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Oberweis work?
James Oberweis has been Chairman, President, Shareholder and Director of Oberweis Asset Management Inc since November 1994, and is a control person of the firm.
Is James Oberweis a financial advisor?
Yes. James Oberweis has a current investment-adviser registration in California, Illinois and Texas, through Oberweis Asset Management since October 1997.
How many years of experience does James Oberweis have?
James Oberweis has 30 years in the financial industry, since March 1996, across 1 adviser firm.
What exams has James Oberweis passed?
James Oberweis has passed 8 licensing exams: the Series 7, Series 65, Series 63, Series 24, Series 27, Series 86, Series 87 and Series 99TO. The earliest, the Series 7, was passed in March 1996. FINRA credited James Oberweis with the SIE, which began in October 2018.
Where is James Oberweis based?
James Oberweis’ registered office is in Lisle, IL.
Is James Oberweis registered with FINRA?
Yes. James Oberweis has a current broker registration, under CRD 2363059.
Source: FINRA BrokerCheck
How can I verify James Oberweis’ record?
Search CRD 2363059 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Oberweis’ full registration record.
