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212 N. Broadway Street, Lebanon, OH 45036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-03-28 |
Branch Locations
1 disclosure category 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 Advisor Services | Washington Twp | OH | 03/2009 | 01/2018 |
| Ameriprise Financial Services, Inc. | Dayton | OH | 10/2009 | 01/2018 |
| National Securities Corporation | Dayton | OH | 09/2020 | 03/2022 |
| National Asset Management | Dayton | OH | 09/2020 | 03/2022 |
| United Advsiors Services, Llc | Dayton | OH | 01/2018 | 09/2020 |
| Fsic | Dayton | OH | 01/2018 | 09/2020 |
| Kapstone Financial Advisors Llc | Dayton | OH | 03/2022 | Present |
(1) Licensed insurance professional; same address; not investment-related; less than 10% of time. (2) SOLUTIONS CCRC, MENTAL HEALTH COUNSELING, NON-PROFIT, MEMBER BOARD OF DIRECTORS, LEBANON, OH, START 4-2006, 5 HRS PER MONTH, ZERO DURING TRADING HRS, NOT INVESTMENT RELATED...(2) COUNTRYSIDE YMCA, AN INDEPENDENT YMCA, BOARD CHAIRMAN, LEBANON, OH, START 1-2001, 10 HRS PER MONTH, ZERO DURING TRADING HRS, NOT INVESTMENT RELATED...(3) KAPSTONE FINANCIAL ADVISORS, D/B/A, SENIOR V.P., DAYTON, OH, START 1-2018, INVESTMENT RELATED...(4) NATIONAL INSURANCE CORPORATION, FIXED INSURANCE, AGENT, START 9-2020, 1 HR PER MONTH, ZERO DURING TRADING HRS, INVESTMENT RELATED.(5) RJK CONSULTING , SOLE OWNER, NON-INVESTMENT RELATED, ENTITY SETUP AS A PASS THROUGH ENTITY FOR ACCOUNTING PURPOSES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-03 |
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