For Once, Two Certainties in D.C.: New SEC Commissioners, DOL Fiduciary Rule
The New Year — yes, I’m talking about 2016 already — will bring with it two certainties: A final fiduciary rule will be unveiled and new commissioners will arrive at the SEC.
At TD Ameritrade Gathering, Technology, Trusts, Diversity—and Blue Jeans
TD Ameritrade Institutional's annual advisor gathering featured well-received addresses by people like Leon Panetta and Magic Johnson and a last-night party headlined by the Steve Miller Band.
Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
TD Ameritrade Launches 4 Initiatives at National Conference
TDAI chief Tom Nally also vows company will remain “focused and vigilant” on advocating for the fiduciary standard.
TD Ameritrade Endows Director of Financial Planning for Texas A&M
Nathan Harness, currently an assistant professor of finance at TAMU, will step up to the position of TD Ameritrade Director of Financial Planning.
TDAI Awards Next Gen Scholarships to Recruit Young Advisors
These are the first scholarships TDAI has awarded since it established an annual Next Generation Scholarship Program earlier this year.
9 Myths of Breakaway Brokers Becoming RIAs
TDAI's new report, "The Myths and Realities of Becoming an RIA: Know the Facts Before Making a Move," debunks common myths about going independent.
TD Ameritrade Unveils 3 Critical Advisor Initiatives as National Shindig Begins
The plans cover three critical areas of interest for advisors: the search for the next generation of advisors; advocacy in Washington for a fiduciary standard, and enhancing TDAI's technology offerings to provide more efficiency to RIAs.
TD Ameritrade Draws 441 Breakaway Brokers in FY2012
Issues driving breakaway brokers include “an ongoing crisis of confidence with Wall Street, in which clients are voting with their feet.”
TD’s Nally: HNW Investors Choosing RIAs Because of Fiduciary Standard
But TD Ameritrade custodial unit's president warns that a watered-down fiduciary standard will strip RIAs of a competitive edge.