TD Ameritrade Institutional

TD Ameritrade Institutional

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Business head: Thomas Nally

No. clients: 5000

Min. assets:

tdainstitutional.com

In the News

Can the SEC and DOL really harmonize advice standards for brokers and advisers?

November 25, 2017 - As regulators struggle to harmonize retail-advice rules, blending them into a single fiduiciary standard, count on hearing some sour notes from the industry. In fact, nowhere is the debate over investment advice standards more discordant than surrounding...

Clarifying difference between advice, sales not as simple as it sounds

November 25, 2017 - The long battle over investment advice standards can be traced to the different standards that apply when a broker sells a product to a client and then helps the same client manage his finances. The fiduciary rule that applies to investment advisers,...

Adviser recruiting may need new tack for women

November 20, 2017 - Independent registered investment advisers may need to rethink how they are recruiting female advisers if they expect to continue growing over the long term. In "2016 U.S. Advisor Metrics," Cerulli Associates reported that women make up 16% of the total...

Borzi: Hard for Acosta to justify long DOL fiduciary rule delay

November 10, 2017 - A former Obama administration official known as the architect of the Labor Department's fiduciary rule said Friday she doubts the agency's current leadership can justify the long implementation delay it is seeking. Phyllis Borzi, former assistant labor...

Technology issues test RIAs and custodians

November 4, 2017 - Gather the technology leaders of competing custodians and registered investment advisers of various sizes, and there are sure to be some disagreements about whether robo-advisers are a blessing or a curse and which are the greatest cybersecurity threats....

Fintech firms to use dark web to improve cybersecurity for advisers

October 31, 2017 - The financial services industry has found its way onto the dark web. Just don't call it the dark web. "We're the new internet, which is like a layer on top of the internet," said Aaron Spradlin, co-founder and chief executive of CleverDome, a cybersecurity...

TD Ameritrade triples time before it charges fees on popular ETFs

October 23, 2017 - Responding to feedback from financial advisers upset about the removal of some popular ETFs from its no-transaction-fee platform, TD Ameritrade is tripling the amount of time it will allow advisers to continue trading Vanguard and iShares Core ETFs for...

Employee retention linked to career paths and training

October 14, 2017 - As competition heats up among independent advisory firms for both clients and financial advisers, training and guided career paths are emerging as crucial components of recruiting and keeping advisers on board. Yet at a lot of advisory firms, ongoing...

With TD Ameritrade about to acquire Scottrade, Tom Bradley is out

September 8, 2017 - With TD Ameritrade Holding Corp.'s acquisition of Scottrade Financial Services Inc. almost done, there was no room left in senior management for Tom Bradley, TD's current head of retail but an executive widely recognized as one of the main leaders and...

Anticipating delay to DOL fiduciary rule, broker-dealers and RIAs change course

August 16, 2017 - Broker-dealers and registered investment advisers are pivoting in the wake of news that the Department of Labor is likely to get a lengthy delay in the implementation date of its fiduciary rule. While strategies and mechanisms put in place thus far will...

    Notes
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