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James Richard Oswald

T2 Asset Management, LLC

Naperville, IL

CRD 1520633

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Employer firm

T2 Asset Management, LLC CRD 167714

$180M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
T2 Asset Management, Llc

1952 Mcdowell Rd Suite 101, Naperville, IL 60563 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2015-02-27
  • IL RA
    APPROVED
    Since 2015-02-27

Branch Locations

1952 Mcdowell Rd Suite 101, Naperville, IL 60563 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Asbury Investment Management Llc Oakbrook Terrace IL 04/2019 04/2023
T2 Asset Management, Llc Oakbrook Terrace IL 02/2015 Present
  • 04/2019 → 04/2023
    Asbury Investment Management Llc
    Oakbrook Terrace, IL
  • 02/2015 → Present
    T2 Asset Management, Llc
    Oakbrook Terrace, IL
Previous Registrations
  • 2019-05-16 → 2023-04-17
    Asbury Investment Management Llc
    Oakbrook Terrace, IL
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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