Robert J. Wootton

CAPSTONE FINANCIAL ADVISORS

Downers Grove, IL 60515

Some features on this profile are disabled

CRD#: 4387495

Professional summary

Robert John Wootton, CFP® is a registered financial advisor currently at CAPSTONE FINANCIAL ADVISORS INC located in Downers Grove, Illinois.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Robert has worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Wootton's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2000

Experience

Current

March 28, 2014 - Present

CAPSTONE FINANCIAL ADVISORS INC

Office #1: 2001 Butterfield Road Suite 1750, Downers Grove, IL 60515

RIA

CRD#: 109341

Downers Grove, IL

Past

August 23, 2011 - March 13, 2014

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

CHICAGO, IL

Past

August 12, 2011 - March 13, 2014

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

CHICAGO, IL

Past

January 26, 2006 - September 28, 2006

MASON INVESTMENT ADVISORY SERVICES INC

RIA

CRD#: 111113

RESTON, VA

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".

CAPSTONE FINANCIAL ADVISORS INC

CRD#: 109341 / SEC#: 801-56979

RIA

Registered Investment Advisory firm - (11/16/1999 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(3/28/2014)

IAR

Texas
(5/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/16/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/30/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/22/2011

General Securities Representative Examination

Current Firm

CAPSTONE FINANCIAL ADVISORS INC

CRD#: 109341 / SEC#: 801-56979

RIA

Registered Investment Advisory firm - (11/16/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2001 Butterfield Road Suite 1750, Downers Grove, IL 60515

Mailing Address

Phone number

(630) 241-0833

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPSTONE FINANCIAL ADVISORS FOR ADV PART 2 DATED 3-2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,008
AUM (Assets Under Management)	$ 2,441,937,272

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/15/2025	Cover Page	Report
01/06/2025	Cover Page	Report
12/19/2023	Cover Page	Report
07/25/2022	Cover Page	Report

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.

Similar Advisors

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

Justin Dagostino

VERTEX PARTNERS

IAR

Downers Grove, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert J. Wootton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Wootton's CRS (Customer Relationship Summary).

Certified licenses

Experience

USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL PLANNING SERVICES

MASON INVESTMENT ADVISORY SERVICES INC

Primary Firm SEC Registration

CAPSTONE FINANCIAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/2011

Series 65

Date: 1/30/2002

Series 7

Date: 8/22/2011

Current Firm

CAPSTONE FINANCIAL ADVISORS INC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPSTONE FINANCIAL ADVISORS INC

TRUST BUT VERIFY

Similar Advisors