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 Futures & Forex’s Disclosure

TD Ameritrade Futures & Forex’s Disclosure Document.

View TD Ameritrade Futures & Forex’s Disclosure Document


TD Ameritrade Futures & Forex’s Daily Statement

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 2015.pdf

TD Ameritrade  Futures & Forex’s Daily Segregated Requirements – April 2015.pdf

TD Ameritrade  Futures & Forex’s Daily Segregated Requirements – March 2015.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

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’s Consolidated Statement of Financial Condition

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.


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. Exchanges

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