Pioneers in Financial Services Award

Pioneers in Financial Services

Honoring a Pioneer

Tom Bradley is the President of TD Ameritrade-Retail, and he previously served as President of TD Ameritrade-Institutional.  Tom has spent over 25 years working in various aspects of TD Ameritrade’s business unit supporting independent registered investment advisors (RIA’s).  In 1992, he started TD’s independent investment advisor services unit.  In 1998, he was charged with creating the TD’s Investment Center, which provides retail customers with investment guidance and support.

Over his tenure, Tom has built a reputation for his advocacy efforts, particularly with respect to those issues impacting RIA’s.  Specifically, he has been an advocate for the U.S. to impose a fiduciary requirement on all professionals that hold themselves out to be a financial advisor to clients.  He was also instrumental in helping the Coalition for Financial Planning to reverse the “Merrill Lynch rule” created by the SEC which allowed brokerage firms to market and charge fees for investment advisory services without being held to the fiduciary standard of care required by the 1940 Investment Advisors Act.  (See this Bloomberg article written at the time for more details on the fiduciary standard and Merrill Lynch rule: ).

In 2011 he was named one of the 25 most influential people in the RIA community by Investment Advisor magazine, an honor he received in 2004, 2006 and 2009 as well.

Bradley has more than 26 years of experience in the financial services industry. He joined TD Waterhouse in 1986 and continued with the firm upon its merger with Ameritrade in 2006. At TD Waterhouse he was responsible for TD Waterhouse Group's U.S. independent RIA services, correspondent clearing and capital markets businesses.

Tom is married (Susan) and has 6 children.  Prior to joining TD Waterhouse, Bradley was a financial advisor with Northwestern Mutual Life and RW Baird & Co.

He received a B.S. in business administration, with a concentration in finance, from the University of Richmond, Robins School of Business. He earned a Certified Fund Specialist (CFS) designation and holds Series 4, 7, 8, 24, 53, 63 and 65 securities licenses. 

This award presentation, and luncheon were made possible thanks to a generous grant from StateFarm.

For more info about Tom Bradley:

For more info about William Paterson University:

Pioneers in Financial Services:
The inaugural recipient of the Pioneers in Financial Services Award was
John C. Bogle, founder of Vanguard.