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Articles tagged "Scottrade"


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Jason Roberts: What blew my mind is it’s one thing to evaluate your policies when you need to adopt them in the future, but it’s another thing to bake them into your manual.

How Scottrade's 'pain'-seeking sales tactics and 'cut-and-paste' lawyering allegedly led to breaching a DOL rule

Massachusetts securities cops seized on DOL rule clause still under delay and seeded effects for brokerage business that are pervasive and lasting

March 1, 2018 at 1:08 AM

Peter deSilva will be president of retail distribution at TD in October after less than two years at Scottrade.

A look inside the agonizing decision to cut Tom Bradley from TD Ameritrade and what doesn't seem to add up

CEO Tim Hockey accords Peter deSilva a cultural edge as retail chief though Scottrade only hired him in 2016 -- either way there's 'no place' for Bradley after a 30-year run at TD

September 21, 2017 at 6:31 PM

Lobbying took on a new meaning at the Fontainebleau this week at the MarketCounsel Summit.

MarketCounsel Summit 2016 -- the theme is when the boss calls, you go

The Fontainebleau glitters, but not with newly minted Trumpsters, as Summit chief Brian Hamburger got more than he bargained for with the conference's theme of 'change'

December 9, 2016 at 4:41 PM

Mike Foy: We call them self-directed. There's been blurring of the lines.

JD Power crowns Schwab as tops for 'self-directed' investors for its ability to provide investors greater direction

Scottrade plummets from first place to fifth as Fidelity and Vanguard come in a hair behind Schwab

May 22, 2015 at 5:26 PM

Brooke Southall: There are only so many flavors of trust, integrity and character.

The 10 biggest threats to the RIA business heading into 2014

The fiduciary planning model is taking shots from every angle but the jugular looks inaccessible

December 27, 2013 at 11:02 PM

Mike Durbin: I won't be threatened until one of these folks wakes up and decides to be a custodian or a clearing firm. I don't find that to be a near- or medium-term risk.

Part II: RIA custodians' answer to challenges to their monolithic control: We still have big-time scale advantages

Roll-ups and other mezzanine firms are squeezing RIA custody margins as a value proposition but the big-brand custodians -- and some new ones -- are liking the cards they have to play

November 11, 2013 at 6:53 AM

Mark Tibergien in Part II: The balance of power has shifted to advisors, regardless of whether they are on a broker-dealer platform or a custody platform.

Part I: Is the era of the monolithic RIA custodian coming to an end?

RIAs, small custodians, co-ops, study groups, roll-ups, TAMPs, compliance shops, OSJ and IBDs are all chipping away at much of what fit under the roofs of Schwab, Fidelity, TD and Pershing

November 1, 2013 at 4:51 PM

Mike Durbin: We will be working very closely with those active clients with less than $15 million to see how we may be able to help them grow their business.

Fidelity's annual $10,000 custody fee will attach to a wider swath of small RIAs

The dinging of the under-$15-million crowd is painful for initiates but a pleasing prospect for competing custodians ready to welcome defectors

September 24, 2013 at 5:02 AM

Catie Tobin: RBC intends to double its RIA assets from $10 billion to $20 billion by 2015.

A peek inside the rising RIA custodians fighting to overtake the Big Four

RBC, LPL, TCoA, Scottrade and National Advisors Trust are all pushing to gain the critical mass to get past also-ran status

November 29, 2011 at 5:44 AM

John Burke: It’s pretty difficult because it’s getting into the advice business

Some Scottrade RIAs think the company's giant branch network is ripe for referrals

It would be a culture shift but Brian Davis leaves the door open

October 5, 2010 at 4:07 AM

Brian Davis: Business development is a passion of mine.

Adding to the list of RIA custodians headed by execs with Schwab schooling, Scottrade promotes Brian Davis

After a wait, a spot vacated by Doug Talir gets filled by his former second in command

October 4, 2010 at 3:35 AM

Mike Durbin: We’ve very comfortable with the move but as you might imagine, advisors have reacted negatively.

Fidelity will soon charge a big fee to small advisors

Boston-based custodian is on service crusade and economics need to work

September 24, 2010 at 3:52 AM

Adam Honoré: Nearly 70% of financial advisors see online brokers as being no threat to their business.

Online brokers may be bigger threat to financial advisors than they realize, study says

E*Trade, Schwab and Fidelity win assets from advisors and relinquish them grudgingly, according to Aite Group report

April 19, 2010 at 7:27 AM

Christopher Dean, managing director of Summit Partners in Boston, invested VC money in RIAs

10 things that show the RIA movement is really heating up in 2010: Part I

Observers need a scorecard to keep track of all the advances that RIAs are making

March 22, 2010 at 4:59 AM

Steve Walkenbach is heading Scottrade's RIA custody unit but the company is seeking a replacement for Doug Talir

Scottrade is ramping up marketing -- with an interim leader at the helm

The St. Louis-based discount broker has big momentum and a big position to fill

February 24, 2010 at 7:33 AM

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