Use of the TD Name

Instructions:

Follow the below instructions and disclosures when drafting any marketing piece with use of the TD name. Please submit your advertising/sales literature for compliance review. The Spire Compliance department will forward the literature on to TD for approval. Please note that this can cause additional delays in the approval process, so plan accordingly to submit early!

Random Tips

• Compliance will not approve anything that associates us as a “partner” with the advisor. I always suggest they change the language to “Business Relationships”.
• Our logo cannot be side by side with a firms logo. It looks like we’re in a partnership – compliance won’t approve that.
• Always refer to firm as TD Ameritrade Institutional (not TD Ameritrade)

Disclosure for Advisor with multiple custodians

Use the following disclosure when an advisors webpage/brochure includes our logo/name along with other firms.

TD Ameritrade, Inc. is one of the firms that we use to custody our client assets. TD Ameritrade, [FIRM NAME], and the other entities named 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.

Disclosure for Advisor with TDAI as custodian

Use the following disclosure when an advisors webpage/brochure includes only our logo/name.

TD Ameritrade, Inc. is the firm that we use to custody our client assets. TD Ameritrade and [FIRM NAME], 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.