Matthew J. Terry

Matthew Terry is a corporate attorney in Holland & Knight's Denver office and a member of the firm's Financial Services Team and Broker-Dealer Regulation and Compliance Team. 

Mr. Terry advises broker-dealers and registered investment advisors on regulatory, transactional and corporate matters, including regulations of the Financial Industry Regulatory Authority (FINRA) and U.S. Securities and Exchange Commission (SEC), among others, as well as guiding financial services clients on structuring and developing their international businesses and operations, including their cross-border and in-country businesses. 

Prior to joining Holland & Knight, Mr. Terry spent more than 20 years in senior legal roles at a global financial services firm supporting wealth management lines of business, including full-service brokerage and investment advisory, online brokerage, independent advisors, international wealth, correspondent clearing and registered investment advisor (RIA) custody services.  In these roles, he assisted businesses achieve significant growth through multiple mergers and internal initiatives, providing solution-oriented, client-focused legal support to manage legal, regulatory, operational and reputational risk across front, middle and back-office operations in various areas, including international compliance, cash sweep programs, books and records, custody and clearing, financial responsibility rules, margin and credit, Form CRS, Regulation Best Interest (Reg BI), self-disclosure under FINRA Rule 4530, vendor management, electronic communications, trade reporting, anti-money laundering (AML) and privacy.  

Mr. Terry also spent several years as a compliance manager at a brokerage firm, where he created and led the trading and market making compliance programs and managed regulatory exams. He maintains FINRA Series 7 and 24 licenses. 

While in law school, Mr. Terry served as associate editor of the University of Detroit Mercy Law Review. He was also an intern at The White House. In addition, Mr. Terry is a graduate of the Securities Industry Institute (SII) from The Wharton School at the University of Pennsylvania.