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Applications & Forms


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GETTING STARTED WITH OBERWEIS SECURITIES

When you’re ready to open an account, you can complete and mail your application to Oberweis Securities, Inc. (OSI). Individual, joint, and custodial accounts are available.

Once you begin trading, you can check your account anytime online. OSI gives you secure access to your balance information, current holdings, and trading activity, updated daily. We’ll also mail you easy-to-read monthly statements that show all trades you’ve made online as well as through our traditional brokerage.

What can OSI account holders invest in?

You have access to trading in all asset classes (stocks, bonds, and mutual funds) via the Internet or through an OSI financial consultant.*

  • Listed stocks (for example, NYSE or AMEX)
  • OTC stocks (NASDAQ and other OTC)
  • Options
  • Mutual funds (120+ fund families; no commissions or transaction fees)
  • Bonds
  • Certificates of deposit
*Stock trades executed through a financial consultant are $65 per trade plus $0.10 per share. Contact OSI to discuss other fees or transactions executed through a financial consultant.

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Some of the online account features available include:

Market Statistics

See broad market statistics, such as new highs, new lows, number of advancers, number of decliners, number unchanged, total volume, volume of advancers, volume of decliners, and previous total volumes for the NYSE, AMEX, and NASDAQ NML.

Charts

Choose from various types of charts you wish to view and compare performance versus an index, display a moving average, and include numerous other indicators.

Company News

Get the latest news on a company you are researching or already have in your portfolio. You can also access market headlines and late-breaking news or search news by subject.

Company Profile

Look up your favorite company’s profile to access current statistics and contact information. You can also learn how many research firms follow the company, what their consensus recommendation is currently, and what the performance has been for this company’s stock.

Option Lookup

Get the call and put symbols with expiration date and price for your favorite company. Click on the symbol and get the quote for that particular option.

Stock Screener

This powerful research tool allows you to find which stocks meet your specific investment criteria. For example, sort for all industries or a specific industry by stock price, P/E ratio, total return, EPS growth, market capitalization, dividend yield, price/book ratio, and beta (vs. S&P 500).

Morningstar® Screener

This powerful research tool allows you to find which mutual funds meet your investment objective. For example, sort for any objective or a specific objective for any fund family by Morningstar rating, NCFS status, load information, expense ratio, manager tenure, net asset size, and total return percentage threshold for various investment periods (1-, 3-, and 6-month; year to date; 1-, 3-, 5-, and 10-year; and life of fund). Also, conduct a head-to-head mutual fund comparison by entering multiple fund symbols.

Morningstar Profile

Look up a mutual fund’s profile to view its investment objective, net assets, fund performance (load-adjusted return, no-load return, vs. S&P 500 return), top 10 holdings, average P/E ratio, median market capitalization, sector weightings, volatility statistics, regional exposure, sales fees, and management and actual fees.

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What other services are offered by OSI?

Portfolio Watch

Input your holdings to track your portfolio’s current value, dollar gain, percentage gain, portfolio share allocation, last price, and cost basis per share.

Watch List

Input your list of stocks to watch and track their day-to-day trading activity.

Calculators

Get immediate feedback specific to your selected parameters on key topics:

  • Asset allocation
  • College planning
  • Accumulated interest
  • Retirement
  • Bond income
  • Commissions paid

Plus…

Take advantage of an array of traditional brokerage services, all integrated with your online trading activity into one convenient statement. Whenever you want, you can tap our experts for:

  • Advice from a knowledgeable investment professional
  • Personalized retirement and financial planning
  • Private money management

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Where do I send checks?

Make checks payable to our clearing broker:

NFS (National Financial Services LLC)

Please write your account number in the memo field

Mail checks to:

Oberweis Securities, Inc.
3333 Warrenville Road, Suite 500
Lisle, IL 60532
USA

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What are your wiring instructions?

Wire to: JP Morgan Chase Bank
One Chase Manhattan Plaza
New York, NY, 10005
ABA Number: 021000021
For Credit to: National Financial Services, LLC
1 World Financial Center
200 Liberty Street
New York, NY, 10281
Account Number: 066196-221
For the benefit of: Your Name
Your Account Number
(xxx-######)

Important – Customers wiring funds into a Retirement Account must also include the applicable contribution (mnemonic) code to ensure that the wire is correctly credited for tax reporting purposes. Please include: CYC (current year) or PYC (prior year] for IRA accounts or SEP (for SEP/IRA’s)

*Non-reportable custodian-to-custodian transfers will require prior additional documentation or funds will be returned.

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BUSINESS CONTINUITY PLAN

Oberweis Securities, Inc. (OSI) and its affiliates, Oberweis Asset Management, Inc. and The Oberweis Funds, have developed a business continuity plan to address a possible business disruption, emergency, or catastrophic event. While it is impossible to forecast every potential problem that could occur, OSI believes it has taken reasonable precautions to enable it to resume business operations under a variety of scenarios. If the OSI offices or immediate surroundings were to become unsuitable for operations, we intend to continue business under the provisions of the plan.

So that we can respond to events as they occur, we have identified functions critical to daily operations. Among other things, these functions include:

  • Data backup and recovery
  • Maintenance of all mission-critical systems
  • Financial and operational processing
  • Alternative communications plans for employees and regulators
  • Alternate physical location of employees
  • Measurement of potential effects on critical suppliers, contractors, banks, and counterparties
  • Regulatory reporting

In the event of a disruption, we intend to deliver these critical functions from an alternate facility, or a third-party service provider will deliver them to you. We require service providers who deliver these essential services to meet our business continuity requirements.

TRADE ROUTING REPORTS

Oberweis Securities, Inc. (OSI) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of nondirected orders; that is, any order that the customer has not specifically instructed to be routed to a particular venue for execution.

The report below is divided into four sections: one for securities listed on the New York Stock Exchange and reported as a Network A eligible security; one for securities listed on The NASDAQ Stock Market; one for securities listed on the NYSE Amex Exchange or regional exchanges and reported as a Network B eligible security; and one for exchange-listed options. For each section, this report identifies the venues most often used during the past quarter, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of OSI’s relationship with the venues.

INVESTOR INQUIRY

Investors have the ability to request specific order routing and execution information. This will include the identity of the market place where the orders were routed for execution, whether the orders were directed or non-directed, and the time of the execution, if any. Investors can request to receive this information in writing. Broker-dealers were required to begin capturing this information on July 2, 2001, and make it available to investors for a period of six months prior to the request. You may contact your brokerage firm for additional details on the information that is available.

 

SEC RULE 606 QUARTERLY REPORT FOR THE PERIOD ENDING JUNE 30, 2020