Review our latest reports and disclosures for added confidence in TD Ameritrade as your financial services firm.
Secure and reliable access to your account information is one of our highest priorities. In the event of a disruption, we’ve developed a plan that is intended to permit the firm to maintain business operations.
View our Business Continuity Plan
We pride ourselves on giving clients a safe and stable environment in which to pursue their investment strategies. To help answer any questions or concerns you may have, we publish our annual Financial Statement audited by an Independent Registered Public Accounting Firm.
View TD Ameritrade Clearing, Inc.’s audited Financial Statement as of 9/30/17
The U.S. Securities and Exchange Commission’s Rule SEC 606 requires all brokers/dealers that route equity orders and option securities to make available a quarterly report that outlines their routing practices. The report must outline venues used to route client orders during the quarter and disclose the material aspects of the broker’s/dealer’s relationship with those venues. TD Ameritrade routes client orders to its affiliate, TD Ameritrade Clearing, Inc. (“TD Ameritrade Clearing”) and to third party market venues for execution. TD Ameritrade Clearing does not execute client orders, but rather, routes the orders to third party execution venues. TD Ameritrade’s Rule 606 report details its routing practices and TD Ameritrade Clearing’s Rule 606 report provides further details about its routing practices for the orders it receives from TD Ameritrade.
View TD Ameritrade Clearing, Inc.’s SEC 606 Order Disclosure
View TD Ameritrade, Inc.’s SEC 606 Order Disclosure
The CFTC’s § 1.55 and the NFA’s Rule 2-36 require Futures Commission Merchants (“FCMs”) and Forex Dealer Members (“FDMs”) to disclose specific information on its website. In accordance with these rules, TD Ameritrade Futures & Forex LLC (“TD Ameritrade Futures & Forex”) is providing the following information:
TD Ameritrade Futures & Forex’s CFTC 1.55 Disclosure Document.
View TD Ameritrade Futures & Forex’s Disclosure Document
TD Ameritrade Futures & Forex’s NFA 2-36 Disclosure Document
TD Ameritrade Futures & Forex’s daily statement (for the most current 12-month period) of Segregation Requirements and Funds in Segregations for Customers Trading on U.S. Exchanges, Customer Secured Funds for 30.7 and Customer Segregated Cleared Swaps under Section 4d(f).
View TD Ameritrade Futures & Forex’s Daily Segregated Requirements
TD Ameritrade Futures & Forex's Daily Segregated Requirements - May 2018
TD Ameritrade Futures & Forex's Daily Segregated Requirements - April 2018
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – March 2018.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – February 2018.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – January 2018.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – December 2017.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – November 2017.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – October 2017.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – September 2017.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – August 2017.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – July 2017.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – June 2017.pdf
TD Ameritrade Futures & Forex’s Daily Segregated Requirements – May 2017.pdf
At this time, TD Ameritrade Futures & Forex’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, TD Ameritrade Futures & Forex’s does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.
TD Ameritrade Futures & Forex’s adjusted net capital, net capital and excess net capital in accordance with §1.17 and reflecting balances as of the month-end for the 12 most recent months.
View TD Ameritrade Futures & Forex’s Monthly Adjusted Net Capital, Net Capital & Excess Net Capital
TD Ameritrade Futures & Forex’s most current certified annual report pursuant to §1.16 and schedules
At this time, TD Ameritrade Futures & Forex’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, TD Ameritrade Futures & Forex’s does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.
TD Ameritrade Futures & Forex’s total forex customer liability as reported each day to the NFA on the Forex Financial Report for the last 12 months.
View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - May 2018.pdf
View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - May 2017.pdf
TD Ameritrade Futures & Forex’s CFTC § 5.5(e) disclosure for each of the most recent four calendar quarters during with the FDM maintained retail forex customer accounts.
View TD Ameritrade Futures & Forex’s CFTC § 5.5(e) Disclosure
Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges as part of TD Ameritrade Futures and Forex’s unaudited Form 1-FR-FCM for the most current 12-month period
At this time, TD Ameritrade Futures and Forex’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, TD Ameritrade Futures and Forex’s does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.
To learn how TD Ameritrade Futures & Forex’s invests and holds customer funds, please see the National Futures Association’s Basic System.
View TD Ameritrade Futures & Forex’s NFA Financial Reporting
To view additional financial information on all futures commission merchants available from the Commodity Futures Trading Commission.
Review the latest reports and disclosures from Scottrade.
We pride ourselves on giving clients a safe and stable environment in which to pursue their investment strategies. To help answer any questions or concerns you may have, we publish our annual Financial Statement audited by an Independent Registered Public Accounting Firm.
Pursuant to its obligations under the U.S. Securities and Exchange Commission’s disclosure rule, SEC Rule 606, Scottrade makes its order routing practices publicly available on a quarterly basis. This report identifies the venues to which Scottrade sent client order flow during the applicable period in addition to detailing any material relationships Scottrade maintains with those execution venues.
To review Scottrade’s Order Routing Information, compiled by quarter, please click the link below:
