Stephen Norman Mathieu

Employer firm

Legacy Financial Solutions, Inc. CRD 114932

$7.30M regulatory AUM 7 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers

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

Current Employers

Legacy Financial Solutions, Inc.

1361 Elm Street Suite 100, Manchester, NH 03101 • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2004-01-01

NH RA
APPROVED

Since 2004-01-01

Branch Locations

1361 Elm Street, Suite 100, Manchester, NH 03101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Legacy Financial Solutions, Inc.	Manchester	NH	07/1997	Present
Lfs Tax Group, Llc	Manchester	NH	03/2018	Present

07/1997 → Present

Legacy Financial Solutions, Inc.

Manchester, NH
03/2018 → Present

Lfs Tax Group, Llc

Manchester, NH

Previous Registrations

2007-07-17 → 2007-12-31

Investors Capital Corp.

Manchester, NH

Lynnfield, MA

Manchester, NH

Lynnfield, MA
2003-08-28 → 2007-07-16

Legacy Advisory Services, Inc.

Manchester, NH
1998-04-02 → 2003-12-31

Legacy Financial Solutions, Inc.
1998-04-02 → 2002-12-31

Legacy Financial Solutions, Inc.

Manchester, NH

Other Businesses

03/2018 LFS TAX GROUP; MANAGING MEMBER/ACCOUNTANT; TAX CONSULTING ACCOUNTING FIRM; NON-INVESTMENT RELATED; 1361 ELM STREET SUITE 100 MANCHESTER NH 03101 APPROXIMATELY 20 HOURS/WEEK OR AS NEEDED; APPROXIMATELY 15 HOURS DURING TRADING HOURS; TAX CONSULTING AND TAX RETURN PREPARATION

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1985-08-19

S63 Uniform Securities Agent State Law Examination

1985-08-19

Designations

Chartered Financial Consultant

Other Names

Steve Mathieu
Steve Norman Mathieu
Stephen N Mathieu

View on SEC IAPD