Kenneth Mathieson

U.S. CAPITAL WEALTH ADVISORS

New York, NY 10175

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CRD#: 1730324

Professional summary

Kenneth Mathieson, who also goes by Kenneth J Mathieson, Kenneth Joseph Mathieson, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in New York, New York.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Kenneth has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenneth J Mathieson | Kenneth Joseph Mathieson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Real estate, renting out my home for income. Started in September 2023, 2 hours per month, none during securities hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Mathieson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 13, 2025 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 521 5th Avenue Suite 1721 17th Floor, New York, NY, 10175

RIA

CRD#: 288199

New York, NY

Past

January 11, 2018 - January 7, 2025

LAIDLAW WEALTH MANAGEMENT LLC

RIA

CRD#: 150040

NEW YORK, NY

Past

February 6, 2017 - January 7, 2025

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

May 17, 2016 - February 16, 2017

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

RIA

CRD#: 283004

NEW YORK, NY

Past

October 2, 2014 - December 8, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

NEW YORK, NY

Past

June 6, 2014 - March 2, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW YORK, NY

Past

June 1, 2009 - April 9, 2014

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

November 16, 1999 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 22, 1987 - November 10, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/13/2025)

IAR

New York
(1/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/23/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/3/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/16/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

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Contact information

Main Address

4444 Westheimer Rd. Suite G500, Houston, TX 77027

Mailing Address

Phone number

(713) 366-0500

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

USCWA ADV PART 2A MARCH 28, 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	10,833
AUM (Assets Under Management)	$ 7,282,480,817

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
01/23/2024	Cover Page	Report
03/24/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kenneth Mathieson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Mathieson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAIDLAW WEALTH MANAGEMENT LLC

LAIDLAW & COMPANY (UK) LTD.

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/2025

Series 63

Date: 10/23/1987

SIE

Date: 10/1/2018

Series 3

Date: 11/3/2003

Series 7

Date: 9/19/1987

Series 8

Date: 2/16/1999

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

U.S. CAPITAL WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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