Lee A. Duckworth
CAPITAL WEALTH MANAGEMENT | CEO
WEST WARWICK, RI 02893
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CRD#: 2097591
Professional summary
Lee Alan Duckworth, AIF®, CFP® 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.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Lee has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
What are your service offerings?
Insurance
Trust & estate planning
Financial planning
Institutional consulting
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
750K
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1.) NAME OF OBA: BOY SCOUTS OF AMERICA; ADDRESS OF OBA: E. PROVIDENCE, RI 02914; NATURE: NON PROFIT; INVESTMENT RELATED: NO; TITLE WITH OBA: UNIT LEADER & COUNCIL EXECUTIVE; DUTIES: UNIT LEADER & COUNCIL EXECUTIVE; START DATE: 2003; APPROX. NUMBER OF HOURS/MONTH: 2; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: SOUTH COUNTY WRESTLING; ADDRESS OF OBA: NATURE: NON-PROFIT WRESTLING LEAGUE; INVESTMENT RELATED: NO; TITLE WITH OBA: BOARD MEMBER /TRUSTEE; DUTIES: TREASURER; START DATE: 2010; APPROX. NUMBER OF HOURS/MONTH: 2; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: The Harbor Church; ADDRESS OF OBA: WEST KINGSTOWN, RI; NATURE: CHURCH; INVESTMENT RELATED: NO; TITLE WITH OBA: BOARD OF DEACONS; DUTIES: BOARD OF DEACONS; START DATE: 2009; APPROX. NUMBER OF HOURS/MONTH: 2; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (4.) NAME OF OBA: BROKERS'SERVICE MARKETING GROUP, INC; ADDRESS OF OBA: PROVIDENCE, RI 02903; NATURE: LIFE INSURANCE AND ANNUITY SALES AND SERVICE; INVESTMENT RELATED: NO; TITLE WITH OBA: CONSULTANT /COMMISSIONABLE AGENT; DUTIES: LIFE INSURANCE AND ANNUITY SALES AND SERVICE; START DATE: 1996; APPROX. NUMBER OF HOURS/MONTH: 60; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (5.) NAME OF OBA: AD,LLC; ADDRESS OF OBA: WEST WARWICK, RI 02893; NATURE: OFFICE CONDO; INVESTMENT RELATED: NO; TITLE WITH OBA: OWNER; DUTIES: OWNER; START DATE: 2008; APPROX. NUMBER OF HOURS/MONTH: 0; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (6.) NAME OF OBA: MAKE A DIFFERENCE FOUNDATION, INC; ADDRESS OF OBA: WEST WARWICK, RI 02893; NATURE: CHARITABLE ORGANIZATION; INVESTMENT RELATED: NO; TITLE WITH OBA: FUNDRAISING COMMITTEE MEMBER; DUTIES: MAIL FUNDRAISING LETTERS TO FRIENDS FOR THANKSGIVING MEALS TO THE UNDERPRIVILEGED; START DATE: 1993; APPROX. NUMBER OF HOURS/MONTH: 5 HOURS/YEAR; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (7.) NAME OF OBA: CAPITAL WEALTH INC; ADDRESS OF OBA: WEST WARWICK, RI 02893; NATURE: CORPORATION, BANKING; INVESTMENT RELATED: YES; TITLE WITH OBA: OWNER / PARTNER; DUTIES: CAPITAL WEALTH INC IS PART OF THE OWNERSHIP STRUCTURE FOR CAPITAL WEALTH MANAGEMENT, LLC RIA; START DATE: 07/24/2017; APPROX. NUMBER OF HOURS/MONTH: 2-5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (8.) NAME OF OBA: CAPITAL WEALTH HOLDINGS, LLC; ADDRESS OF OBA: WEST WARWICK, RI 02893; NATURE: CAPITAL WEALTH HOLDINGS LLC IS PART OF THE OWNERSHIP STRUCTURE FOR CAPITAL WEALTH MANAGEMENT, LLC RIA; INVESTMENT RELATED: YES; TITLE WITH OBA: OWNER / PARTNER; DUTIES: N/A; START DATE: 07/24/2017; APPROX. NUMBER OF HOURS/MONTH: 2-5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 9.) OFFICE 2.0 POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 1300 Division Rd., Ste 204, West Warwick RI 02893, United States DESCRIPTION: OFFICE 2.0 LLC is associated with the condo unit next to Capital Wealth Management. I own said condo unit.
CRS (Client Relationship Summary) - RIA
Click below to view Lee Alan Duckworth's 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®
CFP®
Start date: 2003
Experience
Current
August 2, 2011 - Present
CAPITAL WEALTH MANAGEMENT, LLC
Office #1: 1300 Division Road Suite 203, West Warwick, RI 02893RIA
CRD#: 157959
WEST WARWICK, RI
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1300 Division Road Suite 203, West Warwick, RI 02893RIA
BD
CRD#: 23131
WEST WARWICK, RI
Past
March 30, 2012 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
WEST WARWICK, RI
Past
May 14, 2003 - August 30, 2004
STEELE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 107097
WEST WARWICK, RI
Past
April 29, 2003 - March 30, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
W. WARWICK, RI
Past
April 21, 2003 - March 30, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
W. WARWICK, RI
Past
May 28, 1996 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 21, 1991 - August 10, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
January 21, 1991 - April 25, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
CW
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)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.RR
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
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Connecticut(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Illinois(8/23/2024)
RR
Louisiana(8/23/2024)
RR
Maine(8/23/2024)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/23/2024)
RR
Nevada(8/23/2024)
RR
New Hampshire(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Ohio(8/23/2024)
RR
Oklahoma(8/23/2024)
RR
Pennsylvania(8/23/2024)
IAR
Rhode Island(8/2/2011)
RR
Rhode Island(8/23/2024)
RR
South Carolina(8/23/2024)
IAR
Texas(5/11/2012)
RR
Texas(8/23/2024)
RR
Vermont(8/23/2024)
RR
Virginia(8/23/2024)
RR
Washington(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
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)Upgrade to AdvisorCheck Premium
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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
17
SEC notice filing (11 States and Territories)
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.
Company Information
CAPITAL WEALTH MANAGEMENT, LLC
CEOCRD#: 157959West Warwick, RI 02893TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
