Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Roy McGuffin recently resigned from his former employer in connection to alleged rule violations and has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McGuffin (CRD# 1803305).
Roy McGuffin has spent 29 years in the securities industry and was most recently registered with Ameriprise Financial Services in Cincinnati, Ohio (2009-2017). Previous registrations include Ameriprise Advisor Services in Blue Ash, Ohio (1990-2009); Lux Investor Services Corporation (1989-1990); Power Securities Corporation (1989); and the Stuart-James Company (1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination): Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]): Series 4 (Registered Options Principal Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Roy McGuffin has received one pending customer complaint and recently resigned from his former employer.