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Investment Advisor
August 2009
James J. Green
Now and Then An interview with Tom Bradley, president of TD Ameritrade Institutional. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 2009
Melanie Waddell
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. mark for My Articles similar articles
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. mark for My Articles similar articles
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... mark for My Articles similar articles
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 mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
Catching Up With... Catching Up With Tom Bradley mark for My Articles similar articles
Financial Advisor
July 2011
Andrew Gluck
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
November 2011
Evan Simonoff
What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation. mark for My Articles similar articles
Financial Planning
February 1, 2012
John F. Wasik
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
March 2010
James J. Green
TD Ameritrade Stands Tall Record attendance was reported at the custodian's 14th annual national conference. mark for My Articles similar articles
Investment Advisor
July 1, 2011
Bob Clark
If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 6, 2009
TD Regains Swagger In Vegas TD Ameritrade's RIA clients are happy and asset flows are coming back. mark for My Articles similar articles
Financial Planning
December 1, 2010
Donna Mitchell
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. mark for My Articles similar articles
Financial Planning
April 1, 2012
Bob Veres
21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process? mark for My Articles similar articles
Financial Advisor
November 2009
Jeff Schlegel
The Great Debate Financial services reform is coming. How will it impact advisors? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 2009
Bob Clark
Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation. mark for My Articles similar articles
Financial Advisor
October 2010
Andrew Gluck
Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs? mark for My Articles similar articles
Registered Rep.
April 7, 2011
Kristen French
Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011. mark for My Articles similar articles
Financial Planning
September 1, 2012
Bob Veres
Why Doesn't the RIA Community Come Up With Better Proposals? Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives? We assume that the goal of the Dodd-Frank Act is to tighten up lax RIA regulation. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 13, 2010
Charles Paikert
SEC Family Office Ruling Set to Open Doors for RIAs to Gather Assets RIAs can benefit from family offices' inclination to gravitate to smaller, boutique firms, as opposed to working with impersonal financial behemoths. mark for My Articles similar articles
Investment Advisor
December 21, 2010
James J. Green
FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap." mark for My Articles similar articles
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? mark for My Articles similar articles
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 mark for My Articles similar articles
Financial Advisor
June 2012
Jim McConville
Advisor Groups Renew Challenge To Finra's SRO Cost Estimates A coalition of financial advisor industry groups last month resumed its assault on the Financial Industry Regulatory Authority's cost estimates for creating a self-regulatory organization to review investment advisors. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
July 2011
Bernie Clark
A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry. mark for My Articles similar articles
Investment Advisor
May 1, 2011
Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more mark for My Articles similar articles
Financial Advisor
May 2011
Andrew Gluck
Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
March 14, 2012
Jerry Gleeson
The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business. mark for My Articles similar articles
Financial Planning
January 1, 2013
Donald Jay Korn
Top Custodians: Battling for Custody Custodians try different strategies for growth as advisors break away to join RIA firms. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
November 2005
Tracey Longo
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. mark for My Articles similar articles
Investment Advisor
July 1, 2011
Melanie Waddell
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
April 1, 2011
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard mark for My Articles similar articles
Financial Planning
July 1, 2012
Bob Veres
Gaps of Logic FINRA has been an effective bludgeon against the small independent B-D world, creating paperwork requirements whose costs are best amortized over larger hordes of retail advisors. mark for My Articles similar articles
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? mark for My Articles similar articles
Financial Planning
September 1, 2012
Eric Schwartz
Eric Schwartz of Cambridge Investment Discusses RIAs A proposal to deal with RIAs regulatory advantage over independent broker-dealers. mark for My Articles similar articles
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. mark for My Articles similar articles