TD Ameritrade

Market activity has led to longer than expected phone wait times. Visit our Top FAQs page for ways you can self-service. 

Get in touch

Call or visit a branch

  • Call us: 800-454-9272

Committed to Continued and Reliable Business

Review our latest reports and disclosures for added confidence in TD Ameritrade as your financial services firm.

Our Business Continuity Plan

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

Our Financial Statement

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 9/30/20

 

SEC Order Disclosure

The U.S. Securities and Exchange Commission’s Rule 606 requires brokers that route equity and option orders to make available quarterly reports (broken out by month) that provide statistical details regarding their routing practices.  The report details the market centers (e.g., exchanges, market makers or alternative trading systems) that brokers route to and the material aspects of the brokers’ relationship with those market centers.   TD Ameritrade, Inc. (“TD Ameritrade”) routes orders to its affiliate TD Ameritrade Clearing, Inc. (“TD Ameritrade Clearing”) and to third-party market centers.  TD Ameritrade Clearing does not execute client orders, but rather, routes the orders it receives from TD Ameritrade to third-party market centers.  As a result, both reports are presented to understand how TD Ameritrade’s orders are routed to market centers for execution.   

 

The reports detail the per share/per contract amounts as well as the total amount of payments received by TD Ameritrade and TD Ameritrade Clearing based on the orders each firm routes to third party market centers.   

 

Rule 606 exempts broker-dealers from disclosing execution venues that received less than 5% of non-directed orders provided that 90% of the non-directed orders are disclosed.  As a result, overall totals may not equal 100%.  

 

On request, TD Ameritrade will provide the identity of the venue(s) to which your orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders. 

View TD Ameritrade Clearing, Inc.’s SEC 606 Order Disclosure

View TD Ameritrade Clearing, Inc.’s SEC 606 Order Disclosure XML

View TD Ameritrade, Inc.’s SEC 606 Order Disclosure

View TD Ameritrade, Inc.’s SEC 606 Order Disclosure XML

View Historical 606 Disclosures

CFTC and NFA Public Disclosures

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 Disclosures

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
View TD Ameritrade Futures & Forex's Disclosure Document

TD Ameritrade Futures & Forex’s Adjusted Net Capital

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 Future & Forex’s Most Current Certified Annual Report

TD Ameritrade Futures & Forex’s most current certified annual report pursuant to §1.16 and schedules


View TD Ameritrade Futures & Forex LLC's audited Statement of Financial Condition and Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges as of 9/30/20

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

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 - January 2021

View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - December 2020

View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - November 2020

View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - October 2020

View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - September 2020

View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - August 2020


View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - July 2020


View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - June 2020


View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - May 2020

 View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - April 2020

View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - March 2020

 View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - February 2020

View TD Ameritrade Futures & Forex’s total forex customer liability as reported daily - January 2020

TD Ameritrade Futures & Forex’s CFTC § 5.5(e) Disclosure

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

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.

View TD Ameritrade Futures & Forex’s Monthly Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges19

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.

NFA Financial Reporting

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

CFTC Financial Data For FCMs

To view additional financial information on all futures commission merchants available from the Commodity Futures Trading Commission.

View CFTC Financial Data for FCMs

Check the background of TD Ameritrade on FINRA's BrokerCheck