Employee Personal Trade Monitoring | TD Ameritrade

Designated Brokerage Services

Enhance how you monitor your employees’ personal trading.

Benefit from the knowledge of specialists who can act as an extension of your compliance team and from complementary services and tools that help you manage risk.

 

Plus, experience sophisticated technology that makes your monitoring program more efficient.

Employer benefits

Save time, lower compliance costs, and reduce risk while delivering an outstanding experience for your employees.
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Empowering technology

Enhance your monitoring processes with tools that offer better insight into your employees’ personal trading.

 

Veo®, our powerful monitoring and reporting platform, complements your existing capabilities with:

 

  • Simplified monitoring and alerts
  • Custom data pulls and download features
  • Direct downloads for daily reporting
  • Special tools for accounting and auditing firms
  • Futures and forex transaction reporting

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Robust program support

Provide employees with information they need from the moment they come on board, with easy-to-navigate, custom materials.

 

Employees receive offer sheets that outline their benefits, activation kits, welcome gifts, ongoing on-site support, and access to dedicated financial consultants.

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Dedicated service and support

Connect with dedicated associates who provide the right knowledge, tools, resources, and insights.

 

You’ll receive best practices consulting, personalized onboarding and implementation, and rapid responses to day-to-day requests.

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Tailored microsite

Facilitate the account opening process with a microsite personalized to your firm. For companies with an enhanced level of service, we create a site that provides:

 

  • A 24/7 destination for employees to learn more about their exclusive benefits, including preferred pricing
  • A seamless account opening experience
  • Automatic account linking to data feeds

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Employee benefits

Employees get extensive investment education, tools, and support on investor-friendly platforms.
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Exclusive benefits

An array of offers may be available to your employees.

One-year advisory fee credit on an Essential, Selective, or Personalized Portfolio managed by TD Ameritrade Investment Management, LLC,1 cash credits, and account transfer rebates2 can further enhance your employees’ experience.

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Industry-leading trading platforms

Employees can take advantage of easy-to-use, innovative brokerage platforms and mobile trading apps.

Intuitive web platforms offer your employees everything they need to build and manage their portfolios in one place, wherever they are. Advanced investors can take their trading to the next level with thinkorswim®.

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Diverse product offerings

Long-term investors and independently minded active traders can access offerings that include personalized, one-on-one goal planning; AdvisorDirect®,3 our advisor referral service; empowering, interactive educational resources; and a suite of investment research tools.

IMPORTANT: The projections or other information generated by the TD Ameritrade Goal Planning tool (“Goal Planning”) regarding the likelihood of various investment outcomes are hypothetical in nature, do not reflect actual investment results, and are not guarantees of future results. Results may vary with each use and over time.

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Personalized service, support, and guidance

Employees can work with experienced, licensed representatives to pursue their unique goals according to the level of help they want.

  • AdvisorDirect: Investors who want financial or wealth management services can find independent RIAs through our advisor referral service.
  • TD Ameritrade Investment Management, LLC: Employees looking for assistance with their investments can explore professionally supported solutions designed to align with their financial goals.

The Premier List is for self-directed use only and is not a recommendation.

Carefully consider the investment objectives, risks, charges and expenses of any ETF or mutual fund before investing. To obtain a prospective containing this and other important information, please call a TD Ameritrade representative. Please read the prospectus carefully before investing.

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Get in touch

Want to learn more about how TD Ameritrade can help you and your organization? Give us a little more information about yourself, and someone from our team will reach out shortly.

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