Self-Directed Brokerage Accounts

"With our SDBAs, participants appreciate having more choice and greater control."

Pete Dorsey, Managing Director, Institutional Sales,TD Ameritrade Institutional

Pete Dorsey

With Self-Directed Brokerage Accounts (SDBAs) from our brokerage affiliate TD Ameritrade, Inc., participants can go beyond their plan's core investment options and gain access to a variety of additional investment choices. SDBAs allow plan sponsors to deliver an extra level of diversification and personalization to participants—along with great service and support for advisors, plan sponsors and participants.

Adding SDBAs Means Adding Choice

SDBAs offer something for everyone. Advisors, TPAs, plan sponsors, and plan participants can enjoy features like daily data synchronization, express account opening, and ERISA compliance through a specialized website and pre-established trade restrictions.

Plan sponsors can meet the expectations of participants, thanks to our commitment to personal service, our next-generation technology and trading platforms, access to industry research, and a broad range of investment choices.

Participants can experience freedom, flexibility, and easy account access online, on the phone, through mobile apps, or by calling a dedicated Participant Service Specialist. They'll also enjoy our online research tools and third-party market analysis from industry leaders.

Participant Services

We provide top-notch service to plan participants, including 24-hour online, mobile, and Interactive Voice Response (IVR) system access. Our SDBA Participant Service Specialists are available by phone Monday-Friday (excluding market holidays), 8 a.m.-7 p.m. ET.

The Benefits of Veo®

Veo is TD Ameritrade Institutional’s powerful account management and trading platform designed for advisors. It offers both open architecture and access to third-party solutions for greater flexibility and control. Veo can help you manage your clients SDBAs with greater efficiency, making it even easier to serve investors with streamlined technology. In addition, you can now access Veo® Mobile from your iPad® to help you stay more connected while on the go.

A Broad Range of Investment Options

Plan participants can leverage a variety of investment options, including individual stocks, bonds, CDs, over 250 commission-free ETFs, and more than 13,000 mutual funds - including more than 4,500 no-load, no-transaction-fee (NTF) mutual funds*.

Carefully consider the particular ETF or mutual fund's investment objectives, risks, charges and expenses. To obtain a prospectus containing this and other important information, please call a TD Ameritrade representative at 866-766-4015. Please read the prospectus carefully before investing.

ETFs are baskets of securities that may track a sector-specific, country-specific, or a narrow/broad-market index. ETFs trade on an exchange like a stock. ETFs are subject to risk similar to those of their underlying securities, including, but not limited to, market, sector, or industry risks, and those regarding short-selling and margin account maintenance. Commission fees typically apply. ETFs are subject to risk similar to those of their underlying securities, including, but not limited to, market, investment, sector, or industry risks, and those regarding short-selling and margin account maintenance. Some ETFs may involve international risk, currency risk, commodity risk, leverage risk, credit risk, and interest rate risk. Performance may be affected by risks associated with non-diversification, including investments in specific countries or sectors. Additional risks may also include, but are not limited to, investments in foreign securities, especially emerging markets, real estate investment trusts (REITs), fixed income, small-capitalization securities, and commodities. Each individual investor should consider these risks carefully before investing in a particular security or strategy. Investment returns will fluctuate and are subject to market volatility, so that an investor’s shares, when redeemed or sold, may be worth more or less than their original cost. Unlike mutual funds, shares of ETFs are not individually redeemable directly with the ETF. Shares are bought and sold at market price, which may be higher or lower than the net asset value (NAV).

TD Ameritrade receives remuneration from certain ETFs (exchange-traded funds) that participate in the commission-free ETF program for shareholder, administrative and/or other services.

No Margin for 30 Days. Certain ETFs purchased commission free that are available on the TD Ameritrade ETF Market Center will not be immediately marginable at TD Ameritrade through the first 30 days from settlement. For the purposes of calculation the day of settlement is considered Day 1.

 *No-Transaction-Fee (NTF) mutual funds are no-load funds for which TD Ameritrade does not charge a transaction fee. TD Ameritrade receives remuneration from fund companies, including those participating in its no-load, no-transaction fee program, for record-keeping, shareholder services, and other administrative and distribution services. The amount of TD Ameritrade's remuneration for these services is based in part on the amount of investments in such funds by TD Ameritrade clients.

No-transaction-fee funds and other funds offered through TD Ameritrade have other fees and expenses that apply to a continued investment in the fund and are described in the prospectus.