Roy E. Mcguffin

KAPSTONE FINANCIAL ADVISORS LLC

LEBANON, OH 45036

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CRD#: 1803305

Professional summary

Roy Elmer Mcguffin is a registered financial advisor currently at KAPSTONE FINANCIAL ADVISORS LLC located in Lebanon, Ohio.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Roy has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8, Series 4 and Series 24 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.

Licensed insurance professional, not investment-related, same address, less that 10% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Elmer Mcguffin'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®

None

Experience

Current

March 29, 2022 - Present

KAPSTONE FINANCIAL ADVISORS LLC

Office #1: 212 N. Broadway Street, Lebanon, OH 45036

RIA

CRD#: 318885

LEBANON, OH

Past

September 29, 2020 - April 1, 2022

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

DAYTON, OH

Past

September 13, 2020 - April 1, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

DAYTON, OH

Past

January 22, 2018 - September 18, 2020

UNITED ADVISORS SERVICES, LLC

RIA

CRD#: 150080

Cincinatti, OH

Past

December 7, 2017 - September 17, 2020

FSIC

CRD#: 37813

Dayton, OH

Past

October 5, 2009 - September 28, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Cincinnati, OH

Past

October 5, 2009 - September 28, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Cincinnati, OH

Past

June 30, 2003 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

BLUE ASH, OH

Past

September 19, 1990 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

BLUE ASH, OH

Past

February 27, 1989 - April 17, 1990

LUX INVESTOR SERVICES CORPORATION

CRD#: 18424

Past

January 9, 1989 - February 28, 1989

POWER SECURITIES CORPORATION

CRD#: 15527

Past

February 24, 1988 - December 17, 1988

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

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".

KAPSTONE FINANCIAL ADVISORS LLC

CRD#: 318885 / SEC#: 801-123348

RIA

Registered Investment Advisory firm - (8/11/2022 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

Ohio
(3/29/2022)

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

IAR

Series 65

Date: 10/30/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/12/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 11/9/1992

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/6/1990

General Securities Principal Examination

Current Firm

KAPSTONE FINANCIAL ADVISORS LLC

CRD#: 318885 / SEC#: 801-123348

RIA

Registered Investment Advisory firm - (8/11/2022 Approved)

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Contact information

Main Address

212 N. Broadway Street, Lebanon, OH 45036

Mailing Address

Phone number

(937) 751-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAPSTONE DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (1/31/2025)

Regulatory assets under management

Total Number of Accounts	1,160
AUM (Assets Under Management)	$ 271,490,221

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.

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Advisor Monitoring

Firm Stability Insights

Roy E. Mcguffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Elmer Mcguffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

UNITED ADVISORS SERVICES, LLC

FSIC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

LUX INVESTOR SERVICES CORPORATION

POWER SECURITIES CORPORATION

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

KAPSTONE FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2001

Series 63

Date: 3/29/1988

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

Series 8

Date: 1/12/1993

Series 4

Date: 11/9/1992

Series 24

Date: 4/6/1990

Current Firm

KAPSTONE FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAPSTONE FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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