| Similar Articles |
 |
Investment Advisor August 2009 James J. Green |
Now and Then An interview with Tom Bradley, president of TD Ameritrade Institutional.  |
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.  |
Investment Advisor July 2009 Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.  |
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.  |
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 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  |
Investment Advisor March 2009 James J. Green |
Catching Up With... Catching Up With Tom Bradley  |
Financial Advisor July 2011 Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.  |
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.  |
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 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.  |
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.  |
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.  |
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 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.  |
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 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.  |
Registered Rep. February 6, 2009 |
TD Regains Swagger In Vegas TD Ameritrade's RIA clients are happy and asset flows are coming back.  |
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.  |
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?  |
Financial Advisor November 2009 Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors?  |
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.  |
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.  |
Financial Advisor October 2010 Andrew Gluck |
Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs?  |
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.  |
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.  |
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. 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.  |
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."  |
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?  |
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  |
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.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor May 1, 2011 |
Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more  |
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.  |
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. 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.  |
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.  |
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.  |
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.  |
Investment Advisor July 1, 2011 Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.  |
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 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  |
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.  |
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?  |
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.  |
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.  |