Roy Mcguffin
Roy Mcguffin is a registered investment advisor at Kapstone Financial Advisors LLC, based in Lebanon, OH, with 37 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 508 clients with $320M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kapstone Financial Advisors charges a fee based on the value of your portfolio, ranging from 0.50% to 1.50% per year. The specific fee depends on the complexity of the services, the amount of assets managed, and the overall relationship with the firm. Fees are paid monthly, in advance. Certain clients may be subject to a legacy fee schedule.
Location
212 N. Broadway Street, Lebanon, OH, 45036
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
September 2017Customer Dispute
August 2017Other Business ActivitiesSells Insurance
Roy is a licensed insurance professional, though this activity is not investment-related. He dedicates about 10-20% of his time to this.
Employment History
Current Registrations
Kapstone Financial Advisors LLC
Previous Registrations
National Asset Management, INC.
National Securities CorporationBroker
United Advisors Services, LLC
FsicBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
Lux Investor Services CorporationBroker
Power Securities CorporationBroker
The Stuart-James Company, IncorporatedBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.