Business Description

Legacy Financial Advisors, Inc. was founded in 1974 to serve the needs of our clients and exceed their expectations. Our clients expect independent financial advice, and because we are an independent firm, we are able to provide advice that is best suited to our client’s needs from a variety of financially solid companies rather than just one. Our clients expect excellent service, so we have two associates serving each client to ensure availability. Our clients expect us to help them solve their ever-changing financial needs and our firm consistently reevaluates the financial markets and climate to enable our representatives to provide our customers with solid investment options to achieve their financial goals. Our clients expect stability and Legacy Financial Advisors, Inc. has been working since 1974 to ensure that our customers receive superior service from a local company; we are not only financially competent, but we are empathetic to the real issues of our financial advisory clients.

Our firm has great technical capabilities; however, we provide much more than a technology solution for our client needs. We offer real time, face-to-face personal advice, far more in depth than most other firms. We pride ourselves on spending the time necessary to locate and develop solutions to our clients’ needs in the areas where our firm can help. We provide options to solve problems in the five classic areas of financial planning. Our services include estate planning, tax planning, cash flow planning, risk planning and investment planning.

General Information

Gender:

Male

CRD#:

4293626

Firm CRD#:

2225

Insurance License#:

Life, Accident, Health

Name of Broker/Dealer:

SII Investments, Inc.

Name of Custodial Firm:

Pershing LLC

States Licensed in:

MA,RI,NH,NC,FL,TX,AZ

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors

Services

Investment Types:

Insurance, Options & Futures, FOREX & Currency, Mutual Funds, Commodities, Alternative Investments, Annuities, Stocks, Bonds, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Consultant (ChFC®)

Securities Licenses:

Series 6, Series 63, Series 65

Insurance and Annuity Licenses:

Health, Long Term Care, Variable Life, Disability, Annuity, Life, HMO, Accident, Variable Annuity

Financial Organization Memberships:

Financial Services Institute, National Association of Insurance and Financial Advisors (NAIFA)

Non-Financial Organization Memberships:

Employee Awareness Association, Cape Cod Cranberry Growers Association, Massachusetts Electrical Contractors Assoociation, Associated Builders & Contractors, Massachusetts Business Association, Milford Area Chamber of Commerce, Northeast Business Trust, Health Service Administrators, Retired Educators Association of Massachusetts

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets, Commissions, Flat Fee, Hourly

Prepared By:

Michael Brunelli