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Detailed Report
JAMES WALTER OBERWEIS
JAMES WALTER OVERWEIS
CRD#: 2363059
IA
Investment Adviser
B
Broker
OBERWEIS ASSET MANAGEMENT INCCRD#: 105471 3333 WARRENVILLE ROAD
SUITE 500
LISLE, IL 60532
OBERWEIS SECURITIES, INC.CRD#: 42060 3333 WARRENVILLE ROAD
SUITE 500
LISLE, IL 60532
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAOBERWEIS ASSET MANAGEMENT INC (CRD# 105471)1997 - Present (27 years)BOBERWEIS SECURITIES, INC. (CRD# 42060)1996 - Present (28 years)BTHE CHICAGO CORPORATION (CRD# 1449)1996 - 1996 (<1 year)
License(s)

State Registrations

B
Alabama 5/5/1997
B
Montana 1/3/2018
B
Alaska 1/2/1997
B
Nebraska 3/13/1998
B
Arizona 10/12/2018
B
Nevada 1/3/2018
B
Arkansas 1/7/1997
B
New Hampshire 3/29/2001
B
California 1/3/2000
B
New Jersey 1/3/2018
IA
California 10/27/2023
B
New Mexico 1/8/1997
B
Connecticut 3/17/1998
B
New York 3/17/1998
B
Delaware 12/18/2023
B
North Carolina 12/18/2023
B
District of Columbia 3/20/1998
B
North Dakota 12/18/2023
B
Florida 4/8/1997
B
Ohio 1/3/1997
B
Georgia 3/13/1998
B
Oklahoma 1/1/1997
B
Hawaii 3/23/1998
B
Oregon 12/15/2023
B
Idaho 12/18/2023
B
Pennsylvania 3/17/1998
B
Illinois 1/2/1997
B
Puerto Rico 8/3/2015
IA
Illinois 10/14/1997
B
Rhode Island 1/8/1997
B
Indiana 1/2/1997
B
South Carolina 3/16/1998
B
Iowa 3/27/1998
B
South Dakota 2/3/1998
B
Kansas 1/16/1997
B
Texas 1/3/1997
B
Kentucky 12/15/2023
IA
Texas 5/8/2006
B
Louisiana 3/16/1998
B
Utah 4/27/2023
IA
Louisiana 10/27/2023
B
Vermont 3/23/1998
B
Maine 1/20/2010
B
Virginia 12/18/2023
B
Maryland 1/3/2018
B
Washington 3/17/1998
B
Massachusetts 1/3/2000
B
West Virginia 3/16/1998
B
Michigan 3/17/1998
B
Wisconsin 1/9/1997
B
Minnesota 5/7/1997
B
Wyoming 3/19/1998
B
Mississippi 3/16/1998

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OBERWEIS ASSET MANAGEMENT INC (CRD#:105471)
3333 WARRENVILLE ROAD SUITE 500, LISLE, IL 60532
Registered with this firm since 10/14/1997
B
OBERWEIS SECURITIES, INC. (CRD#:42060)
3333 WARRENVILLE ROAD SUITE 500, LISLE, IL 60532
3333 WARRENVILLE ROAD SUITE 500, LISLE, IL 60532
Registered with this firm since 12/23/1996
Previous Registration(s)
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B
 03/12/1996 - 12/31/1996 THE CHICAGO CORPORATION (CRD#:1449) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.