TD AMERITRADE INVESTMENT MANAGEMENT, LLC
|
|
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
(CRD# 111514)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Omaha, NE.
The SEC approved the firm to operate as an RIA in
Jul 1998.
In
Dec 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$19.7 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
10%
.
|
|
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
also reported in
Dec 2018
-
23
employees,
all of whom perform advisory functions.
-
A total of 390 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
TD AMERITRADE INVESTMENT MANAGEMENT, LLC has one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
|
TD AMERITRADE INVESTMENT MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities: <
AK-May 2003, AL-Apr 2003, AR-May 2003, AZ-Jan 1999, CA-Jan 1999
, CO-May 2002, CT-Jan 1999, DC-Apr 2003, DE-May 2003, FL-Oct 2000
, GA-Apr 2003, HI-Apr 2003, IA-Jan 2003, ID-Apr 2003, IL-Jan 1999
, IN-Jan 2003, KS-Apr 2003, KY-Apr 2003, LA-Apr 2003, MA-Jan 1999
, MD-Jan 1999, ME-Apr 2003, MI-Apr 2003, MN-Mar 1999, MO-Oct 2000
, MS-Apr 2003, MT-Apr 2003, NC-May 2002, ND-Apr 2003, NE-May 2002
, NH-Jan 1999, NJ-Apr 2003, NM-Apr 2003, NV-Apr 2003, NY-Mar 2001
, OH-Oct 2000, OK-Apr 2003, OR-Apr 2003, PA-Jan 1999, PR-Apr 2003
, RI-Apr 2003, SC-Apr 2003, SD-May 2003, TN-Mar 1999, TX-Jan 1999
, UT-Apr 2003, VA-Mar 2001, VI-Dec 2012, VT-Apr 2003, WA-Mar 2001
, WI-Apr 2003, WV-Apr 2003, WY-Sep 2017
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
