James Oswald has been an investment adviser representative at T2 Asset Management since February 2015, and is not listed among the firm’s executive officers or direct owners. James Oswald holds a Bachelor's degree in Commerce from DePaul University.
T2 Asset Management, LLC is a Naperville, IL firm with $180M under management, 560 clients and 8 advisers across 2 offices, as of its March 2026 filing.
Jim Oswald is Senior Financial Advisor of T2 Asset Management, based in Naperville, IL. Before joining T2 Asset Management, he held various positions as a trader, portfolio manager and strategist for institutional clients. He has over 20 years of professional experience.
James Oswald’s longest registration is the current one, 11 years at T2 Asset Management since 2015.
- Asbury Investment Management LLC– · 3 yearsOakbrook Terrace, IL · Adviser representative · Firm CRD 291990
- T2 Asset Management, LLCCurrent– present · 11 yearsNaperville, IL · Adviser representative · Firm CRD 167714
Professional designations
Listed by T2 Asset Management
- CFA
Investment adviser representative registrations
James Oswald is registered as an investment adviser representative in Illinois, since February 2015.
- IllinoisSince 27 February 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 2 July 1986 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Richard Oswald
- CRD
- 1520633
- Firm
- T2 Asset Management · CRD 167714
- Office
- 1952 MCDOWELL RD, SUITE 101, Naperville, IL 60563
- Registration
- Investment adviser registration
- In the industry since
- February 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- t2assetmgmt.com
Where does James Oswald work?
James Oswald is an investment adviser representative registered through T2 Asset Management, LLC since February 2015, and is not listed among the firm’s executive officers or direct owners.
Is James Oswald a financial advisor?
Yes. James Oswald has a current investment-adviser registration in Illinois, through T2 Asset Management since February 2015.
How many years of experience does James Oswald have?
James Oswald has 11 years in the financial industry, since February 2015, across 2 adviser firms.
What exams has James Oswald passed?
James Oswald passed the Series 6 in July 1986.
Where is James Oswald based?
James Oswald’s registered office is in Naperville, IL.
Is James Oswald registered with FINRA?
No. James Oswald has no current broker registration.
Is James Oswald a CFA charterholder?
T2 Asset Management lists James Oswald with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
How can I verify James Oswald’s record?
Search CRD 1520633 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Oswald’s full registration record.
