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 9/30/14

SEC Order Disclosure

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.

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

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



TD Ameritrade’s Disclosure

TD Ameritrade’s Disclosure Document.

View TD Ameritrade, Inc.’s Disclosure Document


TD Ameritrade’s Daily Statement

TD Ameritrade’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, Inc.’s Daily Segregated Requirements

TD Ameritrade, Inc. Daily Segregated Requirements – February 2015.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – January 2015.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – December 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – November 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – October 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – September 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – August 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – July 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – June 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – May 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – April 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – March 2014.pdf

TD Ameritrade, Inc. Daily Segregated Requirements – February 2014.pdf

At this time, TD Ameritrade, Inc.’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, TD Ameritrade, Inc. 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’s Adjusted Net Capital

TD Ameritrade’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, Inc.’s Monthly Adjusted Net Capital, Net Capital & Excess Net Capital


TD Ameritrade’s Most Current Certified Annual Report

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

View TD Ameritrade, Inc.’s Consolidated Statement of Financial Condition as of 9/30/14 and Schedule of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges as of 9/30/14

At this time, TD Ameritrade, Inc.’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity.  As such, TD Ameritrade, Inc. 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.


Statement Of Segregation Requirements

Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges as part of TD Ameritrade’s Financial and Operational Combined Uniform Single Report under the Securities Exchange Act of 1934 (“FOCUS Report”) for the most current 12-month period

View TD Ameritrade, Inc.’s Monthly Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges

At this time, TD Ameritrade, Inc.’s customers do not engage in activity that requires a 30.7 account or in cleared swap activity.  As such, TD Ameritrade, Inc. 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 Inc. invests and holds customer funds, please see the National Futures Association’s Basic System.

View TD Ameritrade’s Inc.’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