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.
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
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
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 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
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - January 2021
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - December 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - November 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - October 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - September 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - August 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - July 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - June 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - May 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - April 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - March 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - February 2020
View TD Ameritrade Futures & Forex's Daily Segregated Requirements - January 2020
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 - January 2021
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 - 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 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.
View TD Ameritrade Futures & Forex’s Monthly Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges19
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.
View CFTC Financial Data for FCMs