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CS

Corey E. Smith

QUINCY WELLS CAPITAL
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 4979676
CS

Professional summary

Corey Evan Smith, who also goes by Corey E Smith, is a registered financial professional currently at QUINCY WELLS CAPITAL, LLC located in Chicago, Illinois.

Corey is registered as a RR (Registered Representative) and started their career in finance in 2005. Corey has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Corey E Smith

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 Corey Evan Smith'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

January 21, 2020 - May 1, 2026

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

October 3, 2016 - November 11, 2019

CETERA ADVISORS LLC

RIA
CRD#: 10299
MINNETONKA, MN
Past

October 3, 2016 - November 11, 2019

CETERA ADVISORS LLC

BD
CRD#: 10299
MINNETONKA, MN
Past

March 11, 2015 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
MINNETONKA, MN
Past

March 2, 2015 - October 3, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
MINNETONKA, MN
Past

February 27, 2015 - March 4, 2015

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
MINNETONKA, MN
Past

January 17, 2014 - March 10, 2015

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
GOLDEN VALLEY, MN
Past

June 17, 2005 - March 10, 2015

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
GOLDEN VALLEY, MN

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
Arizona
(5/1/2026)
RR
Colorado
(5/1/2026)
RR
Florida
(5/5/2026)
RR
Illinois
(5/1/2026)
RR
Minnesota
(5/1/2026)
RR
North Dakota
(5/1/2026)
RR
South Dakota
(5/1/2026)
RR
Wisconsin
(5/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2005
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: 6/16/2005
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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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