James B. Speights

CAPITAL WEALTH MANAGEMENT

WEST WARWICK, RI 02893

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CRD#: 1362050

Professional summary

James Boyd Speights, who also goes by James B Speights, Jim Speights, is a registered financial advisor currently at CAPITAL WEALTH MANAGEMENT, LLC located in West Warwick, Rhode Island and OSAIC WEALTH, INC. located in West Warwick, Rhode Island.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James B Speights | Jim Speights

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

NAME OF OBA: JAMES B. SPEIGHTS CO . RISK MANAGEMENT; ADDRESS OF OBA: WEST WARWICK, RI 02893; NATURE: SEMINAR / WORKSHIP ON RETIREMENT INCOME PLANNING, LIFE, DISABILITY, LTC AND FIXED ANNUITIES; INVESTMENT RELATED: NO; TITLE WITH OBA: OWNER; DUTIES: MEET WITH CLIENTS, EVALUATE ALL RISK AS TO PERSONAL AND BUSINESS NEEDS, IMPLEMENT PROPER INSURANCE COVERAGE THUS TRANSFERRING RISK TO INSURANCE COMPANIES; START DATE: APPROX. NUMBER OF HOURS/MONTH: 20-30; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 1-1.5

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Boyd Speights's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 2, 2017 - Present

CAPITAL WEALTH MANAGEMENT, LLC

Office #1: 1300 Division Road Suite 203, West Warwick, RI 02893

RIA

CRD#: 157959

WEST WARWICK, RI

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1300 Division Road Suite 203, West Warwick, RI 02893

RIA

CRD#: 23131

WEST WARWICK, RI

Past

May 22, 2017 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

WEST WARWICK, RI

Past

May 15, 2014 - May 19, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

WEST WARWICK, RI

Past

May 15, 2014 - May 19, 2017

SII INVESTMENTS, INC.

CRD#: 2225

WEST WARWICK, RI

Past

February 26, 2008 - May 28, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST WARWICK, RI

Past

February 26, 2008 - May 28, 2014

LPL FINANCIAL LLC

CRD#: 6413

WEST WARWICK, RI

Past

October 26, 2006 - February 28, 2008

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

SAUNDERSTOWN, RI

Past

May 3, 1999 - February 28, 2008

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

SAUNDERSTOWN, RI

Past

July 21, 1994 - May 11, 1999

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

August 7, 1987 - July 25, 1994

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL WEALTH MANAGEMENT, LLC

CAPITAL WEALTH MANAGEMENT, INC. | CAPITAL WEALTH MANAGEMENT, LLC

CRD#: 157959 / SEC#: 801-76539

RIA

Registered Investment Advisory firm - (5/11/2012 Approved)

Rhode Island

Registered Investment Advisory firm - (5/16/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(8/23/2024)

Florida
(8/23/2024)

Massachusetts
(8/23/2024)

North Carolina
(8/23/2024)

IAR

Rhode Island
(6/2/2017)

Rhode Island
(8/23/2024)

IAR

Texas
(1/6/2023)

Texas
(8/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/20/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/6/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL WEALTH MANAGEMENT, LLC

CAPITAL WEALTH MANAGEMENT, INC. | CAPITAL WEALTH MANAGEMENT, LLC

CRD#: 157959 / SEC#: 801-76539

RIA

Registered Investment Advisory firm - (5/11/2012 Approved)

Rhode Island

Registered Investment Advisory firm - (5/16/2012 Terminated)

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Contact information

Main Address

1300 Division Road Suite 203, West Warwick, RI 02893

Mailing Address

Phone number

(401) 885-1060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

08 09 2025 CWM FORM ADV PART 2A AND 2B FINAL (8/8/2025)

Regulatory assets under management

Total Number of Accounts	632
AUM (Assets Under Management)	$ 1,001,028,285

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James B. Speights

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Boyd Speights's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

PRINCIPAL SECURITIES, INC.

OSAIC FS, INC.

Primary Firm SEC Registration

CAPITAL WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2006

Series 63

Date: 7/31/1987

SIE

Date: 10/1/2018

Series 6

Date: 8/6/1987

FINRA

Current Firm

CAPITAL WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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