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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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Holiday Happiness and Hype: Looking Ahead to 2018

It’s that time of year where almost every business you interact with wants to show you how much they LOVE the holidays. Cheerful coffee cups, cinnamon scents in stores, and email subject lines like, “Jingle your way to savings!” While some of it is endearing, a lot of it can come off as forced.

Like new year’s resolutions, for example. I’m totally on board with the idea of committing to being better. But that’s something we should be doing every day – both in our businesses and our personal lives. But the pressure to set a grandiose goal for the new year – one that’s often untethered from reality – can end up undermining our efforts before we even get started. For me, a more realistic approach to goal setting that focuses on what’s most important is the best bet.

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  • by Kate Healy
  • Managing Director, Generation Next, TD Ameritrade Institutional

AdvoKate: Building the Future Is About More than Just Hiring

Freshly cleaned cube: check. System logins set up: check. Tour the break room and share parking info: check, check. Welcome aboard! Good luck and see you at your annual review. Now I can scratch “hire NextGen talent” from my to-do list.

Okay, that’s a bit extreme. But you get my point. We know it’s important to hire NextGen advisors (and I’ll remind you later of a few of those reasons). But developing people — fostering a meaningful, robust career — is a crucial piece of the puzzle that is lacking among RIA firms and I’m going to focus on today.

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  • by Skip Schweiss
  • President, TD Ameritrade Trust Company
    Managing Director of Advisor Advocacy & Industry Affairs

A New Approach to Elevating Broker Standards

Though RIAs and their advocates have for years pounded the table urging regulators to enact a uniform fiduciary standard for both brokers and investment advisors, industry thought leaders at a recent TD Ameritrade Institutional forum considered a new message: Be careful what you wish for.

Recently, we convened our fourth Advocacy Leadership Summit in Washington, with dozens of industry thought leaders engaged in a roll-up-your-sleeves discussion about the best way forward on regulations. We were fortunate to hear from Rick Fleming, the head of the SEC’s Office of the Investor Advocate, who expressed some concern that any harmonization of standards between brokers and advisors would lead to lower, watered-down RIA standards.

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