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Investment Advisor July 2009 Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.  |
Financial Advisor February 2011 Evan Simonoff |
A Different Playing Field Regulatory reform is at the top of RIAs' minds going into 2011.  |
Registered Rep. February 7, 2012 David A. Geracioti |
Von Aldo: AMTD Institutional Promotes Bradley, Nally Just two days after the close of iTD Ameritrade Institutional's annual gabfest, Tom Bradley, the president of the institutional unit, was named head of TD Ameritrade Holdings' retail distribution unit. Succeeding him will be Tom Nally.  |
Investment Advisor March 2008 Kathleen M. McBride |
A Fortified TD Ameritrade There's lots of support for the fiduciary advisor-client relationship at the newly strengthened TD Ameritrade.  |
Investment Advisor March 2010 James J. Green |
TD Ameritrade Stands Tall Record attendance was reported at the custodian's 14th annual national conference.  |
Investment Advisor March 2009 James J. Green |
Catching Up With... Catching Up With Tom Bradley  |
Registered Rep. June 25, 2009 Halah Touryalai |
Regulation, Not Growth, Is Top Concern for RIAs Clients are demanding more of their time, revenues are taking a hit and on top of it all, there's potential for major regulatory changes in their industry.  |
Financial Planning April 1, 2010 Donna Mitchell |
Going for Growth As RIAs gear up to grow their practices this year, they are doing more than scooping up unhappy wirehouse clients. They have identified three major strategies: increase spending on marketing, more technology, and improve client service.  |
Financial Planning July 1, 2006 Marshall Eckblad |
Chalk One Up for RIAs According to a recent survey, a majority of investors believe stockbrokers and investment advisers owe the same fiduciary responsibilities to their clients.  |
Investment Advisor August 2009 James J. Green |
Editor's Note: Change Partners Some thoughts from the editor of this publication on the current state of the financial advisory business.  |
Registered Rep. June 1, 2006 Kristen French |
60 Seconds with Tom Bradley In this interview, the president of the Institutional division of TD Ameritrade talks about his opinion of the new broker/dealer exemption.  |
Investment Advisor October 2009 James J. Green |
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms.  |
Investment Advisor July 2007 Green & Keane |
TD Ameritrade to Acquire Fiserv's Advisor Unit Under the complicated deal that will break up Fiserv ISS, TD Ameritrade will pay $225 million in cash for the operation.  |
Registered Rep. December 20, 2010 Diana Britton |
RIAs Reinvesting in Their Firms Despite Economic Uncertainty Forty-six percent said they are optimistic about the direction of the economy, up 30 percent from last quarter.  |
Registered Rep. February 1, 2010 Kristen French |
Most Brokers Think Uniform Fiduciary Standard Unlikely Yet most of them also thought it would do good.  |
Financial Planning October 1, 2010 Marion Asnes |
What's Next for Your Business A conversation with Tom Bradley, president of TD Ameritrade Institutional, about current challenges to advisors.  |
Investment Advisor August 2006 Kathleen M. McBride |
B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors.  |
Registered Rep. February 6, 2009 |
TD Regains Swagger In Vegas TD Ameritrade's RIA clients are happy and asset flows are coming back.  |
Investment Advisor September 2010 Melanie Waddell |
The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge.  |
Financial Planning December 1, 2012 Ackermann et al. |
Hot Topics TD Ameritrade Institutional's aggressive recruiting... Small RIAs move to state regulation... Rosier view for affluent investors...  |
Investment Advisor March 2009 James J. Green |
News: A Sense of Resolve? Among RIAs and broker/dealers, the need to move ahead trumps market uncertainty.  |
Registered Rep. October 28, 2015 |
TD Ameritrade Institutional: Helping a Diverse Industry Find a Common Voice TD Ameritrade Institutional has made it their mission to press for the kind of recognition and collective influence afforded other professional industries.  |
Investment Advisor October 2010 John Sullivan |
Tom Bradley's Vision for the Future The head of TD Ameritrade Institutional looks back on 25 years with the company, and speaks frankly about the keys for future advisor success  |
Financial Planning March 1, 2010 Donna Mitchell |
More Plans for All A universal fiduciary standard could be great for consumers, but financial planners may get less benefit than they think.  |
Registered Rep. July 19, 2011 Jerry Gleeson |
TD Ameritrade Reports Lower Profit, but, at RIA Unit, Breakaway Recruitment Is Up Profits and revenues fell at TD Ameritrade Holding Corp. last quarter as trading waned at the discount brokerage, but Chief Executive Fred Tomczyk said TDA Institutional has brought on 260 breakaway brokers over the past three quarters  |
Investment Advisor July 1, 2011 Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.  |
Financial Advisor July 2009 Sherri Scordo |
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.  |
Registered Rep. October 15, 2010 Jerry Gleeson |
Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010.  |
Registered Rep. May 28, 2010 Jake Zamansky |
Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills.  |
Financial Planning December 1, 2008 Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms.  |
Financial Planning March 1, 2011 Bob Veres |
Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.  |
Registered Rep. April 6, 2010 Kristen French |
Custodians In Race To Roll Out M&A Tools TD Ameritrade Institutional is rolling out a new online business valuation tool.  |
Registered Rep. March 5, 2010 Kristen French |
Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients? Will all the media attention influence brokerage clients? Many have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business.  |
Financial Planning August 1, 2009 Bob Veres |
A Swiftly Tilting Planet How will brokers and financial advisors fare in the government's battle to regulate the securities industry?  |
Registered Rep. April 18, 2011 Jerry Gleeson |
TD Ameritrade Signs Up More Breakaways TD Ameritrade saw 95 breakaway brokers sign up last quarter, bringing average initial assets of $30 million each to the custodian platform.  |
Registered Rep. April 1, 2007 John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne?  |
Financial Planning September 1, 2011 Donna Mitchell |
Happy Mediums Online brokerage giants are taking market share from almost every segment of the financial advisory business - except for RIAs.  |
Investment Advisor October 2010 Melanie Waddell |
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011  |
Investment Advisor May 2007 Melanie Waddell |
Victory for the FPA The U.S. Court of Appeals for the D.C. Circuit overturned the SEC's Merrill rule.  |
Registered Rep. April 17, 2012 Jerry Gleeson |
TD Ameritrade Recruitment of Breakaways Up 10% The number of breakaway brokers joining TD Ameritrade in its fiscal second quarter continued at the double-digit pace set in 2011.  |
Investment Advisor September 2009 Bob Clark |
Clark at Large: These Guys Are Good Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory world, which is part of the Obama Administration's overhaul of the financial services industry.  |
Investment Advisor May 1, 2011 Kathleen McBride |
SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it  |
Financial Advisor July 2011 Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.  |
Financial Advisor March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc.  |
Registered Rep. June 30, 2010 Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.  |
Financial Planning June 1, 2007 Marshall Eckblad |
The United Way The FPA's unexpected victory could pave the way to new regulations that cover both brokers and investment advisors.  |
Investment Advisor May 1, 2011 Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.  |
Investment Advisor September 2009 Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.  |
Financial Planning March 1, 2011 Larry Light |
The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals.  |
Investment Advisor October 2010 Melanie Waddell |
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective.  |