Welcome to the
TDA4advisors Blog

We are excited to share a collection of relevant, timely, and insightful articles that can help you grow and strengthen your business. TD Ameritrade and leading industry experts will be contributing their unique perspectives on the challenges and opportunities that RIAs are facing today. Thank you for joining our community and we look forward to connecting with you!

  • by Jeffrey Weiss

FinCEN’s Anti-Money Laundering Rule: What You Need to Know

Jeffrey Weiss, Chief AML Officer, TD Ameritrade Institutional

Jeffrey Weiss, Chief AML Officer,
TD Ameritrade Institutional

If you believe that only banks and broker-dealers need to worry about the anti-money laundering laws… well, the world’s changing and there are proposed regulations you need to consider. Under the proposed rule, if your firm is registered or should be registered with the SEC, you and your firm will be subject to the recordkeeping, reporting, and anti-money laundering laws that banks and other financial institutions have been subject to for years as part of the USA PATRIOT Act and the Bank Secrecy Act (BSA).

This proposal has been in the headlines more and more of late as a key step in the global war against terrorism. Undoubtedly, you feel there is little likelihood of your firm aiding and abetting a terrorist organization; nonetheless, with the expansion of who is covered in the new regulations, it’s important that your firm puts a program in place—beyond just know-your-client (“KYC”) best practices.

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  • by Taryn Grimes

The Human Finance Project: The Journey Begins

Earlier this year, TD Ameritrade Institutional launched the Human Finance Project-a movement designed to elevate the RIA model and help redefine what it means to be a Financial Advisor.  With her powerful storytelling skills, Taryn Grimes was selected to act as our moderator in the development of our Human Finance Project interviewsThis blog post is part of a larger series detailing Taryn’s experiences and observations in being an integral part of the project–helping advisors tell their unique stories.

IMG_7188To be perfectly clear, I come from a family of artists. Money was something we never discussed, probably because we didn’t have much. We were dreamers, hoping to win the lottery or create a masterpiece, preferably both. Growing up, I was given the impression that those in the financial industry were all about the numbers.

As an adult, struggling to manage my own finances, I continued to make the same assumptions. So imagine my surprise when I found myself a part of something called The Human Finance Project.

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  • by Vanessa Oligino
  • Director, Practice Management, TD Ameritrade Institutional

What’s Your Biggest Time Waster?

Vanessa Oligino

Director, Business Performance Solutions, TD Ameritrade Institutional

Attending meetings where nothing ever gets decided? Worrying about things you can’t control? Reading and responding to the 200 emails you get each day? Responding to group texts? We all have reasons why we are not as productive as we should be or would like to be.

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