James R. Viets

Some features on this profile are disabled

CRD#: 1798108

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Robert Viets, who also goes by James R VIets, James Viets, Jim Viets, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James R Viets | James Viets | Jim Viets

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 20, 2021 - January 17, 2023

CWA ASSET MANAGEMENT GROUP

RIA

CRD#: 158940

NAPLES, FL

Past

January 2, 2015 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BOCA RATON, FL

Past

December 23, 2014 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

BOCA RATON, FL

Past

December 22, 2014 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

BOCA RATON, FL

Past

July 29, 2010 - August 28, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

PALM BEACH, FL

Past

July 28, 2010 - August 26, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

PALM BEACH, FL

Past

May 1, 2010 - June 24, 2010

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

WESTON, FL

Past

April 30, 2010 - June 24, 2010

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

WESTON, FL

Past

April 29, 2009 - October 2, 2009

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

DELRAY BEACH, FL

Past

April 20, 2009 - October 2, 2009

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

DELRAY BEACH, FL

Past

March 30, 2005 - March 3, 2009

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BOCA RATON, FL

Past

March 16, 2005 - March 29, 2005

TIAA-CREF TRUST COMPANY, FSB

RIA

CRD#: 108579

ST. LOUIS, MO

Past

October 13, 2004 - March 3, 2009

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BOCA RATON, FL

Past

May 23, 2002 - December 17, 2003

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

BOCA RATON, FL

Past

September 18, 1991 - March 25, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 28, 1989 - September 4, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 24, 1988 - April 11, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CWA ASSET MANAGEMENT GROUP

BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS

CRD#: 158940 / SEC#: 801-79715

RIA

Registered Investment Advisory firm - (5/22/2014 Approved)

Florida

Registered Investment Advisory firm - (5/23/2014 Terminated)

Nebraska

Registered Investment Advisory firm - (5/23/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/23/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/25/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/22/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/22/2024

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/6/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CWA ASSET MANAGEMENT GROUP

BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS

CRD#: 158940 / SEC#: 801-79715

RIA

Registered Investment Advisory firm - (5/22/2014 Approved)

Florida

Registered Investment Advisory firm - (5/23/2014 Terminated)

Nebraska

Registered Investment Advisory firm - (5/23/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/23/2014 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9130 Galleria Court Third Floor, Naples, FL 34109

Mailing Address

Phone number

(239) 434-7434

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWA FORM ADV PART 2A (10/21/2025)

Regulatory assets under management

Total Number of Accounts	4,702
AUM (Assets Under Management)	$ 4,065,327,201

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/05/2025	Cover Page	Report
12/20/2024	Cover Page	Report
10/13/2023	Cover Page	Report
12/09/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James R. Viets

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF TRUST COMPANY, FSB

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

A. G. EDWARDS & SONS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CWA ASSET MANAGEMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/1997

Series 63

Date: 5/31/1988

Series 7TO

Date: 8/25/2022

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

Series 10

Date: 1/22/2024

Series 9

Date: 1/22/2024

Series 24

Date: 8/25/2022

Series 8

Date: 11/6/1991

Current Firm

CWA ASSET MANAGEMENT GROUP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CWA ASSET MANAGEMENT GROUP

TRUST BUT VERIFY

Similar Advisors