TD Ameritrade Institutional

TD Ameritrade Institutional

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Business head: Thomas Nally

No. clients: 5000

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In the News

LPL follows the money

August 17, 2019 - Think of custodians and what names come to mind? Schwab, Fidelity, TD Ameritrade. What about LPL Financial? Sure, it is the country's largest independent broker-dealer, with more than 16,000 advisers, but it's not known as a custodian. And given that...

Top clearing and custody firms for financial advisers

August 17, 2019 - CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2018 Contact Phone/email Pershing One Pershing Plaza, Jersey City, NJ 07339 (800) 445-4467 pershing.com 625 -4.40% Michael Row Chief relationship...

Median age of RIA firm principals now 49, down from 52

July 31, 2019 - After years of growing older, the ranks of advisers and RIA firm leaders are getting younger. (More: RIAs must confront the emotional side of letting go of their business) The median age of RIA firm principals is now 49, down from 52 in 2015, according...

TD Ameritrade CEO Tim Hockey resigning

July 22, 2019 - TD Ameritrade Holding Corp. president and CEO Tim Hockey will leave the company by February 2020. Mr. Hockey will continue his role as TD's board of directors conducts a search for his successor. If a successor is named before the February deadline, Mr....

How employee stock ownership becomes a succession plan

July 3, 2019 - As succession strategies go, the employee stock ownership plan might be the ultimate twofer. For Joe Reeves and Ron Butt, co-founders of Louisville, Kent.-based ARGI, the pursuit of a viable succession plan for their $2.6 billion financial planning firm...

Former brokers say breaking away to be RIA went better than they feared

July 2, 2019 - An appetite for control, independence and an opportunity to build equity in a sustainable business continue to fuel the migration by wirehouse brokers toward the independent registered investment adviser ranks. A new report from TD Ameritrade Institutional,...

SEC clears up confusion over whether advisers can continue to call themselves fiduciaries

June 20, 2019 - Investment advisers are free to describe themselves as fiduciaries and to market that standard of care to clients, despite a prohibition on the term in one part of a new Securities and Exchange Commission disclosure form. In its recently approved advice...

Betterment for Advisors debuts paperless ACATS system

June 17, 2019 - Betterment wants to remove more paperwork from the day-to-day lives of financial advisers. The digital advice company is making the Automated Customer Account Transfer Service, or ACATS, completely paperless for financial advisers using Betterment for...

An inside job: Advisers are picking, grooming successors from within

June 1, 2019 - Bert Herzog III doesn't have plans to step aside anytime soon from Executive Wealth Management, the Brighton, Mich.-based advisory firm he founded in 1981. But the 61-year-old already has a plan in place to ensure that his $850-million investment advisory...

Softer side of wealth management will prevail in the future

May 9, 2019 - The future of financial planning is leaning toward the softer side of wealth management, according to a panel of industry executives speaking Thursday at the Carson Excell conference in Chicago. "The kinds of people who are great at developing relationships...

    Notes
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