TD Ameritrade Institutional

TD Ameritrade Institutional

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Business head: Thomas Nally

No. clients: 5000

Min. assets:

tdainstitutional.com

In the News

The First Steps:

June 21, 2017 - Registered Investment Advisor (RIA) firms often are born from inspiring goals: to pursue greater personal independence, to forge stronger client partnerships, or perhaps to build a successful enterprise. Those making the leap to independence must consider...

CFP Board's proposal to expand fiduciary duty draws praise, carries risks

June 20, 2017 - A proposal to extend fiduciary duty to all certified financial planners, including brokers who hold the mark, garnered praise for the organization that grants the designation, even as planners highlighted the risks involved. On Tuesday, the Certified...

Thinking about M&A? Keep these three issues in mind

June 20, 2017 - Mergers and acquisitions have the potential to accelerate the growth and profitability of financial advisory firms if they're properly planned and executed. To improve their likelihood of success, advisers need to ask some tough questions up front of...

Cybersecurity looms as adviser business threat

May 22, 2017 - U.S. officials have warned for many years that cybercrime is one of the greatest threats facing the nation, and now financial advisers have to face the reality that their businesses are also vulnerable to digital attacks. News headlines regularly carry...

Shrinking talent pool puts strain on advisory firms

May 20, 2017 - Jon Yankee suddenly found himself in a hiring crunch last month. One new financial planning graduate who had accepted an associate adviser position with his firm, FJY Financial, abruptly backed out, and later that week, a midlevel adviser notified the...

How 401(k) advisers can bullet-proof themselves against litigation risk under DOL fiduciary rule

May 20, 2017 - Many advisers who service 401(k) plans will, for the first time, be considered fiduciaries with respect to their investment advice when the Labor Department's conflict-of-interest rule comes into force next month. Along with that heightened standard comes...

Opponents of DOL fiduciary rule want SEC to modify suitability standard

May 8, 2017 - Some suspense surrounds the fate of the Department of Labor fiduciary rule. Among the cliffhangers: Will new Labor Secretary Alexander Acosta extend the delay of the regulation's implementation date beyond June 9? What part of the rule will be modified...

ICI head casts doubt on further delay of DOL fiduciary rule

May 5, 2017 - The leader of a major financial industry trade association on Friday cast doubt on whether the Labor Department's fiduciary rule would be delayed beyond June. Industry opponents of the rule have been urging new Labor Secretary Alexander Acosta to push...

CFP Board launches program to attract more women planners

May 4, 2017 - The CFP Board Center for Financial Planning is creating a pilot program known as the Financial Planning Re-entry Initiative (FPRI) aimed at expanding the pool of female financial planners. Working in partnership with iRelaunch, a firm that develops career-reentry...

AssetMark entices Cetera's top techie to come aboard and help advisers grow

March 29, 2017 - AssetMark has attracted a top-notch technology executive to its ranks about a year after the wealth management technology firm announced it would be acquired by Chinese securities group Huatai Securities, which paid $768 million for the business in a...

    Notes
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