Matthew H. Grace
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew H Grace, who also goes by Matt Grace, Matthew Hannon Grace, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1997. Matthew had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2018 - March 4, 2021
TRANSAMERICA RETIREMENT ADVISORS, LLC
April 25, 2018 - March 4, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
May 22, 2017 - April 6, 2018
CETERA INVESTMENT ADVISERS LLC
May 22, 2017 - April 6, 2018
CETERA INVESTMENT SERVICES LLC
December 8, 2016 - March 10, 2017
AVANTAX ADVISORY SERVICES
December 8, 2016 - March 10, 2017
AVANTAX INVESTMENT SERVICES, INC.
November 22, 2011 - May 2, 2016
KEY INVESTMENT SERVICES LLC
November 22, 2011 - May 2, 2016
KEY INVESTMENT SERVICES LLC
October 12, 2011 - November 2, 2011
CETERA INVESTMENT SERVICES LLC
October 12, 2011 - November 2, 2011
CETERA INVESTMENT SERVICES LLC
September 8, 2011 - September 29, 2011
CUNA BROKERAGE SERVICES, INC.
September 8, 2011 - September 29, 2011
CUNA BROKERAGE SERVICES, INC.
November 9, 2009 - August 18, 2011
KEY INVESTMENT SERVICES LLC
July 10, 2009 - August 18, 2011
KEY INVESTMENT SERVICES LLC
February 3, 2005 - June 5, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 14, 2004 - April 8, 2009
TRANSAMERICA CAPITAL, LLC
October 24, 2002 - May 12, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 17, 2001 - October 7, 2002
VOYA FINANCIAL ADVISORS, INC.
March 2, 1998 - May 18, 2001
RBC CAPITAL MARKETS, LLC
June 25, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
