Results for "td ameritrade institutional"

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TD's Skip Schweiss says he'll do whatever it takes to avoid conflicts as president of FPA

October 24, 2019

It's fair to say that TD Ameritrade executive Skip Schweiss knew his election as president-elect of the Financial Planning Association was a bit unorthodox. But he might not have anticipated such vocal pushback from one of the planning industry's...

Why aren't people joining the financial advice industry?

October 23, 2019

They don't even know this profession exists, according to Kate Healy, TD Ameritrade Institutional's director of Generation Next.

What Schwab's fractional shares announcement means for advisers

October 18, 2019

Charles Schwab Corp. will soon let investors buy and sell fractions of equities on its digital brokerage, the Wall Street Journal reported Thursday. As Schwab looks beyond no-fee trading, it feels fractional shares will further expand access...

Firms advance culture that supports differences

October 17, 2019

At its second annual Excellence in Diversity & Inclusion Awards event, InvestmentNews recognized financial advice industry firms that are advancing diversity and inclusion within their own firms and around the profession. [More: The Excellence...

Skip Schweiss of TD Ameritrade elected 2020 president of FPA

October 16, 2019

The Financial Planning Association has elected Skip Schweiss, president of TD Ameritrade Trust Co., as its 2020 president for a one-year term. Mr. Schweiss, whose term will begin Jan. 1, 2020, succeeds 2019 FPA President Martin C. Seay. [More:...

John Rogers: Industry has 'gone backwards' on diversity and inclusion

September 24, 2019

John W. Rogers Jr., chairman of Ariel Investments and a pioneer of diversity and inclusion in the financial services profession, issued a reality check for industry participants Tuesday, saying the industry has backtracked rather than improved...

Competition among TAMPs heats up

August 31, 2019

"Poor man want to be rich; Rich man want to be king. And a king ain't satisfied, till he rules everything." Those words from Bruce Springsteen's 1978 single "Badlands" resonate with Jud Bergman, chairman and CEO of Envestnet, as he considers...

Top clearing and custody firms for financial advisers

August 17, 2019

CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2018 Contact Phone/email Pershing One Pershing Plaza, Jersey City, NJ 07339 (800) 445-4467 pershing.com 625 -4.40% Michael Row Chief...

LPL follows the money

August 17, 2019

Think of custodians and what names come to mind? Schwab, Fidelity, TD Ameritrade. What about LPL Financial? Sure, it is the country's largest independent broker-dealer, with more than 16,000 advisers, but it's not known as a custodian. And given...

Median age of RIA firm principals now 49, down from 52

July 31, 2019

After years of growing older, the ranks of advisers and RIA firm leaders are getting younger. (More: RIAs must confront the emotional side of letting go of their business) The median age of RIA firm principals is now 49, down from 52 in 2015,...

TD Ameritrade CEO Tim Hockey resigning

July 22, 2019

TD Ameritrade Holding Corp. president and CEO Tim Hockey will leave the company by February 2020. Mr. Hockey will continue his role as TD's board of directors conducts a search for his successor. If a successor is named before the February deadline,...

How employee stock ownership becomes a succession plan

July 3, 2019

As succession strategies go, the employee stock ownership plan might be the ultimate twofer. For Joe Reeves and Ron Butt, co-founders of Louisville, Kent.-based ARGI, the pursuit of a viable succession plan for their $2.6 billion financial planning...

Former brokers say breaking away to be RIA went better than they feared

July 2, 2019

An appetite for control, independence and an opportunity to build equity in a sustainable business continue to fuel the migration by wirehouse brokers toward the independent registered investment adviser ranks. A new report from TD Ameritrade...

SEC clears up confusion over whether advisers can continue to call themselves fiduciaries

June 20, 2019

Investment advisers are free to describe themselves as fiduciaries and to market that standard of care to clients, despite a prohibition on the term in one part of a new Securities and Exchange Commission disclosure form. In its recently approved...

Betterment for Advisors debuts paperless ACATS system

June 17, 2019

Betterment wants to remove more paperwork from the day-to-day lives of financial advisers. The digital advice company is making the Automated Customer Account Transfer Service, or ACATS, completely paperless for financial advisers using Betterment...

An inside job: Advisers are picking, grooming successors from within

June 1, 2019

Bert Herzog III doesn't have plans to step aside anytime soon from Executive Wealth Management, the Brighton, Mich.-based advisory firm he founded in 1981. But the 61-year-old already has a plan in place to ensure that his $850-million investment...

Softer side of wealth management will prevail in the future

May 9, 2019

The future of financial planning is leaning toward the softer side of wealth management, according to a panel of industry executives speaking Thursday at the Carson Excell conference in Chicago. "The kinds of people who are great at developing...

Fidelity boosts technology integration for advisers

April 24, 2019

Fidelity Institutional is expanding the roster of third-party technology available to advisers through its Wealthscape Integration Xchange, adding account aggregation tools from Addepar and client relationship management capabilities from Wealthbox....

Adviser fintech moving from the back office to client interactions

April 18, 2019

Adviser technology has historically focused on improving back-office efficiency. That is starting to change. Adviser fintech is increasingly focused on making experiences better for clients, said Dani Fava, director of institutional innovation...

InvestmentNews announces 2019 Innovation Awards winners

April 17, 2019

Six firms received InvestmentNews Innovation Awards Wednesday night for their creative and effective approaches to helping advisers run better businesses, improve client outcomes and tackle other planning industry challenges. The winners were...

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