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212 N. Broadway Street, Lebanon, OH 45036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-03-29 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Blue Ash | OH | 10/2009 | 10/2017 |
| Ameriprise Financial Services, Inc. | Cincinnati | OH | 10/2009 | 10/2017 |
| Financial Services International Corp | Edmonds | WA | 10/2017 | 08/2020 |
| United Advisors Services, Llc | Dayton | OH | 12/2017 | 09/2020 |
| National Securities Corporation | Dayton | OH | 09/2020 | 03/2022 |
| National Asset Management | Dayton | OH | 09/2020 | 03/2022 |
| Kapstone Financial Advisors | Dayton | OH | 03/2022 | Present |
Licensed insurance professional, not investment-related, same address, less that 10% of time.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-29 |
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