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MS

Matthew L. Spicer

TRANSAMERICA INVESTORS SECURITIES
Harrison, NY 10528
Some features on this profile are disabled
CRD#: 5399405
MS

Professional summary

Matthew Lee Spicer is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2008. Matthew has worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Lee Spicer'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

December 1, 2025 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528
BD
CRD#: 32205
Harrison, NY
Past

November 10, 2023 - November 20, 2025

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD
Past

October 19, 2018 - November 1, 2023

ASCENSUS BROKER DEALER SERVICES, LLC

BD
CRD#: 36478
NEWTON, MA
Past

January 24, 2014 - October 19, 2018

ASCENSUS FINANCIAL SERVICES, LLC.

BD
CRD#: 147257
DRESHER, PA
Past

April 3, 2012 - January 21, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

April 15, 2011 - March 6, 2012

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
DOWNERS GROVE, IL
Past

January 4, 2008 - August 5, 2010

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

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
Arizona
(12/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/3/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TRANSAMERICA INVESTORS SECURITIES, LLC
DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION

CRD#: 32205 / SEC#: , 8-45671

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
440 Mamaroneck Avenue, Harrison, NY 10528
Mailing Address
440 Mamaroneck Avenue, Harrison, NY 10528
Phone number
(914) 627-3000
Established
Delaware since 12/31/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRANSAMERICA RETIREMENT SOLUTIONS, LLCSHAREHOLDER
BEITZEL, BRIANMANAGER, TREASURER, AND FINANCIAL PRINCIPAL6183770
HEWITT, JAY ALLENMANAGER AND VICE PRESIDENT1687429
HOLGATE, GREGG WILLIAMPRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS2818725
POWERS, MARK JUDSONVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6173588

Disclosures

Regulatory Event1

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 INVESTORS SECURITIES, LLC

CRD#: 32205Harrison, NY 10528

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