MS
Matthew J. Short
TRANSAMERICA FINANCIAL ADVISORS
Saint Louis, MO 63117
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CRD#: 2308036
MS
Professional summary
Matthew John Short, who also goes by Shorty Short, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Saint Louis, Missouri.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Matthew has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shorty Short
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc TRANSAMERICA AGENCY NETWORK/Investment Related - Yes/100 Ligit Street Baltimore, MD 21202 314-878-4950/It's to help people with their life insurance needs./Agent/02.2022/40/2/Prospect, bring in new business, help people protect their families and businesses. UNITED FINANCIAL SERVICES/Investment Related - Yes/100 Ligit Street Baltimore, MD 21202/To help investors who are looking for a more conservative way to invest their money and get some guarantees./Agent/02.2022/40/2/To find people who are looking for ways to grow their assets without taking on a lot of risk and who want a guaranteed income stream that they cannot outlive.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew John Short's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew John Short's 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®
NoneExperience
Current
April 5, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1034 Brentwood Blvd. Suite 1450, Saint Louis, MO 63117RIA
BD
CRD#: 16164
Saint Louis, MO
Current
April 5, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1034 Brentwood Blvd. Suite 1450, Saint Louis, MO 63117RIA
BD
CRD#: 16164
Saint Louis, MO
Past
February 16, 2018 - November 24, 2021
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Maryland Heights, MO
Past
February 16, 2018 - November 24, 2021
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Maryland Heights, MO
Past
November 25, 2013 - February 26, 2016
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
MARYLAND HEIGHTS, MO
Past
January 8, 2013 - February 26, 2016
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
MARYLAND HEIGHTS, MO
Past
February 23, 2001 - September 25, 2001
J. MICHAEL-PATRICK, L.L.C.
BD
CRD#: 36990
CLAYTON, MO
Past
October 21, 1999 - December 4, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
December 4, 1998 - August 19, 1999
KAISER AND COMPANY
BD
CRD#: 14186
CHEYENNE, WY
Past
January 1, 1997 - December 4, 1998
JOHNSON RESEARCH & CAPITAL INCORPORATED
BD
CRD#: 4343
ST. LOUIS, MO
Past
January 23, 1996 - January 1, 1997
PAULI & COMPANY, INC
BD
CRD#: 24851
ST. LOUIS, MO
Past
August 22, 1994 - January 15, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
April 12, 1993 - August 26, 1994
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Missouri(4/5/2022)
IAR
Missouri(4/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/30/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Saint Louis, MO 63117TRUST BUT VERIFY
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