Td Ameritrade, Inc

CRD#7870
Investment Advisor Firm

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Overview

Td Ameritrade, Inc is a financial advisory company headquartered in Omaha, Nebraska. Td Ameritrade, Inc has a very large team of 10,129 employees, including 1,560 financial advisors. Td Ameritrade, Inc does not act as a registered broker-dealer, meaning the firm cannot buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are defined as exchangable financial investments like equities, bonds and options.

The company's central office is at 200 South 108Th Avenue, Omaha, Nebraska 68154. Td Ameritrade, Inc is registered to serve investors across 51 U.S. states and territories.

Editorial note: Under certain conditions, advisors and firms are able to file as exempt reporting advisors with the SEC, meaning they file an abridged version of the Form ADV. As a result, this is all of the publicly available information for Td Ameritrade, Inc. Please visit the SEC website for more information at https://www.sec.gov

Number of Advisors

1,560

Disclosures

No

Office Location

200 South 108Th Avenue
Omaha, NE 68154

Td Ameritrade, Inc by the Numbers

Total Number of Employees

10,129

National Average: 31

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Products and Services

Services that Td Ameritrade, Inc offers can include selection of other advisers and educational seminars. Td Ameritrade, Inc does sell products or offer services aside from investment advisory services to its customers. The company also has a number of financial industry affiliations, including with a broker-dealer or securities dealer, banking or thrift institution, trust company and insurance company or agency.

Core Advisor Services

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    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

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    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 10% of firms

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees typically depend on which services are offered. Fees billed by the firm typically consist of non-traditional fee structures. The firm does not participate in a wrap fee program, in which the firm offers a service bundle for a single fee.

Available

  • Offered by 12% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Unavailable

  • Find one of the 72% of firms that offer this fee type

    Percentage of Assets

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    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

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    Hourly

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    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

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    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

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    Performance-based

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    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

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    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 39% of firms that offer this fee type

    Fixed

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    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

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Types of Clients

The company does business with a number of different customers. Td Ameritrade, Inc provides services to retail investors, high net worth investors, pension plans, charitable organizations and corporations. Td Ameritrade, Inc's biggest client by number of accounts is retail investors, although it also caters to 9,849 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers reside abroad.

  • High-Net-Worth Individuals* - 10.43%
  • Other Individuals - 87.94%
  • Corporations - 1.45%
  • Charitable Organizations - 0.17%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Td Ameritrade, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA