James Speights
James Speights is a registered investment advisor at Osaic Wealth, INC., based in West Warwick, RI, with 38 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
1300 Division Road, Suite 203, West Warwick, RI, 02893
Get directionsHistory
Regulatory History (1)
Customer Dispute
September 2016Other Business ActivitiesSells Insurance
James owns James B. Speights Co. Risk Management, which provides seminars and workshops on retirement income planning, life, disability, LTC, and fixed annuities. He meets with clients, evaluates risk, and implements insurance coverage, dedicating about 10-20% of his time to this activity.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Capital Wealth Management, LLC
Previous Registrations
Triad Advisors LLCBroker
Sii Investments, INC.
Sii Investments, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
On Investment Management CO
The O.N. Equity Sales CompanyBroker
Princor Financial Services CorporationBroker
Chubb Securities CorporationBroker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.