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KS

Karl W. Suess

QUINCY WELLS CAPITAL
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 5255922
KS

Professional summary

Karl Wolfgang Suess is a registered financial professional currently at QUINCY WELLS CAPITAL, LLC located in Chicago, Illinois.

Karl is registered as a RR (Registered Representative) and started their career in finance in 2011. Karl has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 56 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 Karl Wolfgang Suess'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

March 27, 2026 - Present

QUINCY WELLS CAPITAL, LLC

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

January 7, 2022 - March 26, 2026

QUINCY WELLS ADVISORS, LLC

RIA
CRD#: 307477
Boston, MA
Past

November 13, 2020 - December 31, 2021

QUINCY WELLS ADVISORS, LLC

RIA
CRD#: 307477
Boston, MA
Past

November 13, 2020 - March 26, 2026

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

October 30, 2019 - November 16, 2020

CONCORDE ASSET MANAGEMENT, LLC

RIA
CRD#: 140367
Boston, MA
Past

October 23, 2019 - November 16, 2020

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Boston, MA
Past

October 14, 2016 - October 15, 2019

ARETE WEALTH ADVISORS, LLC

RIA
CRD#: 145488
CHICAGO, IL
Past

April 18, 2016 - October 15, 2019

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
Chicago, IL
Past

July 24, 2012 - May 31, 2013

RONIN CAPITAL, LLC

BD
CRD#: 118428
CHICAGO, IL
Past

March 25, 2011 - October 6, 2011

303 EQUITY TRADING GROUP II, LLC

BD
CRD#: 147292
CHICAGO, IL

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
California
(3/27/2026)
RR
Connecticut
(3/27/2026)
RR
Florida
(4/1/2026)
RR
Illinois
(4/3/2026)
RR
Massachusetts
(3/27/2026)
RR
New Jersey
(4/2/2026)
RR
New York
(4/3/2026)
RR
Ohio
(3/27/2026)
RR
Rhode Island
(3/27/2026)
RR
Utah
(4/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/4/2016
Uniform Combined 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: 4/18/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 56
Date: 8/24/2011
Proprietary Trader Qualification 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
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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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