James Oberweis has been Shareholder of Oberweis Asset Management since September 1994, is not listed as a control person, but directly owns between 10% and 25% of the firm.
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.
- – · 12 yearsNorth Aurora, IL · Adviser representative · Firm CRD 105471
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 12 | NYSE Branch Manager Examination | 19 December 1994 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 September 1994 |
| Series 15 | Foreign Currency Options Examination | 1 May 1986 |
| Series 5 | Interest Rate Options Examination | 22 October 1981 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 March 1980 |
| F04 | Financial Principal Examination | 6 December 1978 |
| Series 4 | Registered Options Principal Examination | 13 September 1977 |
| Series 40 | Registered Principal Examination | 14 January 1972 |
| Series 1 | Registered Representative Examination | 24 June 1970 |
- Name
- NYSE Branch Manager Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Foreign Currency Options Examination
- Name
- Interest Rate Options Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Financial Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Registered Principal Examination
- Name
- Registered Representative Examination
- Full name
- James Donald Oberweis
- CRD
- 350272
- Firm
- Oberweis Asset Management · CRD 105471
- Role
- Shareholder
- Registration
- No current registration reported
- Disciplinary history
- Not yet shown here · SEC record
Where does James Oberweis work?
James Oberweis has been Shareholder of Oberweis Asset Management Inc since September 1994.
Does James Oberweis have a current investment-adviser registration?
James Oberweis has no current investment-adviser registration reported.
What exams has James Oberweis passed?
James Oberweis has passed 9 licensing exams: the Series 1, Series 40, Series 4, F04, Series 63, Series 5, Series 15, Series 65 and Series 12. The earliest, the Series 1, was passed in June 1970.
Where was James Oberweis previously registered as an investment adviser?
James Oberweis has past investment-adviser registrations through Oberweis Asset Management Inc, October 1997 to October 2009, across 1 firm.
Is James Oberweis registered with FINRA?
No. James Oberweis has no current broker registration.
How can I verify James Oberweis’ record?
Search CRD 350272 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Oberweis’ full registration record.
