Roy Elmer Mcguffin

Employer firm

Kapstone Financial Advisors LLC CRD 318885

$322M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 10/2017
  Ameriprise Financial Services, Inc.
  Blue Ash, OH
• 10/2009 → 10/2017
  Ameriprise Financial Services, Inc.
  Cincinnati, OH
• 10/2017 → 08/2020
  Financial Services International Corp
  Edmonds, WA
• 12/2017 → 09/2020
  United Advisors Services, Llc
  Dayton, OH
• 09/2020 → 03/2022
  National Securities Corporation
  Dayton, OH
• 09/2020 → 03/2022
  National Asset Management
  Dayton, OH
• 03/2022 → Present
  Kapstone Financial Advisors
  Dayton, OH

Previous Registrations

• 2020-09-29 → 2022-04-01
  B. Riley Wealth Advisors, Inc.
  Dayton, OH
• 2018-01-22 → 2020-09-18
  United Advisors Services, Llc
  Cincinatti, OH
• 2009-10-05 → 2017-09-28
  Ameriprise Financial Services, Llc
  Cincinnati, OH
• 2003-06-30 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Blue Ash, OH
  Cincinnati, OH
  Cincinnati, OH

Other Businesses

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

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-10-30
• S63 Uniform Securities Agent State Law Examination
  1988-03-29