Welcome to the
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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  • 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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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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