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 our audited Financial Statement as of 9/30/13

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, Inc., member FINRA / SIPC / NFA . This is not an offer or solicitation in any jurisdiction where we are not authorized to do business. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. © 2014 TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.