TD AMERITRADE, INC.
OMAHA, NE

TD Ameritrade, Inc., founded as First Omaha Securities in 1975, has been a pioneer in making Wall Street more accessible to individual investors. Over its history, the company consistently innovated by leveraging technology to simplify and enhance the trading experience. Notable advancements include introducing touch-tone phone trading in 1988 and acquiring the firm credited with executing the first online trade in 1994. After going public in 1997, TD Ameritrade streamlined its operations under a unified broker-dealer platform known as Ameritrade, Inc., launching national advertising campaigns and embracing transparent pricing strategies. In subsequent years, the company expanded extensively through strategic acquisitions such as NationalDiscountBrokers in 2001 and thinkorswim Group Inc. in 2009, boosting both its client base and technological footprint. The merger with TD Waterhouse USA in 2006 created a formidable presence in discount brokerage by emphasizing long-term investment guidance. Today, the firm operates under the brand TD Ameritrade, providing an array of financial services to 11 million accounts totaling over $1 trillion in assets. TD Ameritrade offers significant trading capabilities and custodial services for over 6,000 independent registered investment advisors, executing approximately half a million trades daily. As an industry leader, it remains the sole direct retail brokerage granting clients the ability to trade securities 24 hours from Monday through Friday, excluding market holidays. TD Ameritrade's commitment to innovation continues as it navigates regulatory obligations while fostering growth and enhancing customer experiences. Headquartered in Omaha, Nebraska, but with a history connected to New York and Florida states, TD Ameritrade maintains compliance with various statutory requirements including its registration under the Fei Number 06-0988655. The company's current officers reflect a broad range of expertise ensuring strategic oversight and operational excellence.