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TDA4advisors Blog

We are excited to share a collection of relevant, timely, and insightful articles that can help you grow and strengthen your business. TD Ameritrade and leading industry experts will be contributing their unique perspectives on the challenges and opportunities that RIAs are facing today. Thank you for joining our community and we look forward to connecting with you!

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Just Another Industry Buzzword or an Act to Be Proud Of? You Be the Judge.

What happens when you hear phrases like ‘think outside the box’ or ‘core competency’? If you’re like me, you might cringe. And it’s not even as much about word choice as it is about ambiguity.

We know the financial services industry can be complex by nature. But the way we talk about it doesn’t have to be. Take advocacy for example. You hear it all the time, but what does it mean?

It means we’ve got your back.

Tom Nally at the fourth annual TD Ameritrade Institutional Advocacy Leadership Summit in Washington D.C.

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  • by Bryan Baas
  • Managing Director, Institutional Oversight and Control, TD Ameritrade Institutional

11 Tips to Keep Clients Safe from Fraud

Bryan Baas, Managing Director, Institutional Oversight and Controls

“As Managing Director of Institutional Oversight and Controls, my team and I are committed to helping advisors safeguard and protect client accounts at TD Ameritrade through education, collaboration with industry experts, and building awareness around industry trends.”

-Bryan Baas, Managing Director, Institutional Risk Oversight and Controls

Cybersecurity risks have prompted the Securities and Exchange Commission (SEC) and state regulators to increase oversight and enforcement of advisor security measures. Regulators are focused on how registered investment advisors protect client information as part of their overall fiduciary responsibility.

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  • by Vanessa Oligino
  • Director, Business Performance Solutions, TD Ameritrade Institutional

Emerging Trend: Compensation Is About More Than Cash

While cash compensation is certainly a key factor in a firm’s ability to attract and retain talent, for today’s workforce it’s typically not the most important one. Today’s employee is looking for a mix of compensation and benefits that, together, reflect their performance and contributions toward firm goals, allow them to achieve work-life balance, and help them work toward securing their financial future.

Consider these questions as you assess the effectiveness of your current compensation strategy:

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