Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JAMES BOYD SPEIGHTS
JAMES B SPEIGHTS, JIM SPEIGHTS
CRD#: 1362050
IA
Investment Adviser
B
Broker
CAPITAL WEALTH MANAGEMENT, LLCCRD#: 157959 1300 DIVISION ROAD
SUITE 203
WEST WARWICK, RI 02893
OSAIC WEALTH, INC.CRD#: 23131 1300 DIVISION ROAD
SUITE 203
WEST WARWICK, RI 02893
Registration History
199019952000200520102015202020252 FIRMS2008 - 2014 (6 years)2 FIRMS2014 - 2017 (3 years)IACAPITAL WEALTH MANAGEMENT, LLC (CRD# 157959)2017 - Present (7 years)BOSAIC WEALTH, INC. (CRD# 23131)2024 - Present (<1 year)BTRIAD ADVISORS LLC (CRD# 25803)2017 - 2024 (7 years)BTHE O.N. EQUITY SALES COMPANY (CRD# 2936)1999 - 2008 (8 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)1994 - 1999 (4 years)BCHUBB SECURITIES CORPORATION (CRD# 3870)1987 - 1994 (6 years)IAON INVESTMENT MANAGEMENT CO (CRD# 105662)2006 - 2008 (1 year)
Disclosure(s)
View By:
9/9/2016
Customer Dispute
Settled
License(s)

State Registrations

B
Connecticut 8/23/2024
IA
Rhode Island 6/2/2017
B
Florida 8/23/2024
B
Rhode Island 8/23/2024
B
Massachusetts 8/23/2024
IA
Texas 1/6/2023
B
North Carolina 8/23/2024
B
Texas 8/23/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL WEALTH MANAGEMENT, LLC (CRD#:157959)
1300 DIVISION ROAD SUITE 203, WEST WARWICK, RI 02893
Registered with this firm since 6/2/2017
B
OSAIC WEALTH, INC. (CRD#:23131)
1300 DIVISION ROAD SUITE 203, WEST WARWICK, RI 02893
Registered with this firm since 8/23/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/22/2017 - 08/23/2024 TRIAD ADVISORS LLC (CRD#:25803) WEST WARWICK, RI
IA
 05/15/2014 - 05/19/2017 SII INVESTMENTS, INC. (CRD#:2225) WEST WARWICK, RI
B
 05/15/2014 - 05/19/2017 SII INVESTMENTS, INC. (CRD#:2225) WEST WARWICK, RI
IA
 02/26/2008 - 05/28/2014 LPL FINANCIAL LLC (CRD#:6413) WEST WARWICK, RI
B
 02/26/2008 - 05/28/2014 LPL FINANCIAL LLC (CRD#:6413) WEST WARWICK, RI
IA
 10/26/2006 - 02/28/2008 ON INVESTMENT MANAGEMENT CO (CRD#:105662) SAUNDERSTOWN, RI
B
 05/03/1999 - 02/28/2008 THE O.N. EQUITY SALES COMPANY (CRD#:2936) SAUNDERSTOWN, RI
B
 07/21/1994 - 05/11/1999 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
B
 08/07/1987 - 07/25/1994 CHUBB SECURITIES CORPORATION (CRD#:3870) FORT WAYNE, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.