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RB

Roger E. Burton

QUINCY WELLS CAPITAL
CHICAGO, IL 60606
CRD#: 1617103
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RB
Roger Earl BurtonQUINCY WELLS CAPITAL

Professional summary

Roger Earl Burton is a registered financial professional currently at QUINCY WELLS CAPITAL, LLC located in Chicago, Illinois.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1987. Roger has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Earl Burton'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®
None

Experience

Current

May 1, 2026 - Present

QUINCY WELLS CAPITAL, LLC

Office #1: 145 South Wells Ste 1301, Chicago, IL 60606
BD
CRD#: 334163
CHICAGO, IL
Past

October 7, 2021 - May 1, 2026

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

March 19, 1998 - August 30, 2021

GREAT NATION INVESTMENT CORPORATION

BD
CRD#: 19981
AMARILLO, TX
Past

July 14, 1995 - May 15, 1998

CRISPIN KOEHLER SECURITIES

BD
CRD#: 10596
TAMPA, FL
Past

December 21, 1994 - July 10, 1995

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

May 26, 1989 - December 21, 1994

A. B. CULBERTSON AND COMPANY

BD
CRD#: 6870
FORT WORTH, TX
Past

January 21, 1987 - May 24, 1989

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(5/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

QW
QUINCY WELLS CAPITAL, LLC
QUINCY WELLS CAPITAL, LLC

CRD#: 334163 / SEC#: , 8-71322

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
145 South Wells Ste 1301, Chicago, IL 60606
Mailing Address
145 South Wells Ste 1301, Chicago, IL 60606
Phone number
(312) 356-4871
Established
Delaware since 09/13/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
QUINCY WELLS GROUP, LLCOWNER
NEPPEL, JOHN PAULPRESIDENT5008476
FRAME, JONATHANCHIEF COMPLIANCE OFFICER3057547
REYNOLDS, MATTHEW MARKFINOP4077413

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

QUINCY WELLS CAPITAL, LLC

CRD#: 334163Chicago, IL 60606

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