James Speights, financial advisor West Warwick RI
83 score

James Speights

CRD Number: 1362050
Current Firm: Capital Wealth Management, LLC

James Speights (CRD# 1362050) is an Investment Advisor Representative working at Capital Wealth Management, LLC in West Warwick, RI and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Capital Wealth Management, Inc. West Warwick, RI May 2017 - Current < 1
Triad Advisors, Inc. Norcross, GA May 2017 - Current < 1
Sii Investments West Warwick, RI May 2014 - May 2017 3
Lpl Financial Corporation Saunderstown, RI Feb 2008 - May 2014 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1987
S65 NASAA Investment Advisors Law Examination Oct 2006
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James B. Speights
Phone Number: 401-885-1060
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States


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