How You're Protected
We use TD Ameritrade Institutional as our third-party custodian. This means we never possess your funds. In this arrangement, we don’t work for TD. In fact, TD works for you, and in a fiduciary capacity.
A third-party custodian acts as an intermediary between the Registered Investment Adviser (AE Wealth Management) and the client (you).
As your third-party custodian, TD handles settlement of AE Wealth Management’s trades, investment of cash balances into the AE Wealth Management model portfolios, processing of corporate actions, and record-keeping and reporting services.
You can always log in to TD Ameritrade Institutional’s website, AdvisorClient.com, to view all of your securities accounts. Also, your monthly investment statements will always come to you directly from TD Ameritrade Institutional, never from our firm.
TD Ameritrade, Inc. is the firm that we use to custody our client assets. TD Ameritrade and Scott Tucker Solutions, Inc., are separate and unaffiliated firms, and are not responsible for each other's services or policies. TD Ameritrade does not endorse or recommend any advisor and the use of the TD Ameritrade logo does not represent the endorsement or recommendation of any advisor. Brokerage services provided by TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. Used with permission.
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