Thomas Joyce has been Chief Compliance Officer, Secretary of Oberweis Asset Management since September 2022, is not listed as a control person, but directly owns under 5% of the firm. Thomas Joyce holds a BS in Economics and Journalism from Northern Illinois University.
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.
Thomas P. Joyce is Chief Compliance Officer of Oberweis Asset Management, Inc. He is responsible for administering the firm's compliance policies and procedures and overseeing its daily compliance functions. Mr. Joyce joined the firm in April 2010.
No adviser firm registrations are on Thomas Joyce’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 10 May 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 1 October 2012 |
| Series 7 | General Securities Representative Examination | 7 September 2011 |
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Patrick Joyce
- CRD
- 5953683
- Firm
- Oberweis Asset Management · CRD 105471
- Role
- Chief Compliance Officer, Secretary
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- oberweisfunds.com
Where does Thomas Joyce work?
Thomas Joyce has been Chief Compliance Officer, Secretary of Oberweis Asset Management Inc since September 2022.
Does Thomas Joyce have a current investment-adviser registration?
Thomas Joyce has a current broker registration and no current investment-adviser registration.
What exams has Thomas Joyce passed?
Thomas Joyce has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in September 2011. FINRA credited Thomas Joyce with the SIE, which began in October 2018.
Is Thomas Joyce registered with FINRA?
Yes. Thomas Joyce has a current broker registration, under CRD 5953683.
Source: FINRA BrokerCheck
How can I verify Thomas Joyce’s record?
Search CRD 5953683 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Joyce’s full registration record.
