Disclosures & Custody
TD Ameritrade’s institutional division provides custody of client assets for registered investment advisors. Although part of the same company the institutional division is separate from Ameritrade’s retail division that is frequently seen in advertisements in print and on TV. Account Access, Trading and Extensive Research Services are available to PTI investors through Ameritrade’s on-line “Advisor Client” website. Ameritrade’s account security and insurance protections (up to $150 million per account) are provided to both their retail and institutional clients. Ameritrade provides Monthly Statements, Trade Confirmations, and yearly Tax Documents directly to investors. Like most discount brokers TD Ameritrade charges Zero Commissions on stock transactions.
I am an investment advisor representative (CRD-35168) for Performance Tracking Inc. (CRD-116575) a registered investment advisory firm with the State of Washington Department of Financial Institutions. As the principal officer and portfolio manager I am required to disclose my background and experience: After graduating from the University of Puget Sound I became a broker with Dean Witter & Co. in Seattle. When I moved to Anacortes, Wa. I joined Foster & Marshall Inc., a Seattle based brokerage firm, to become the branch manager of their new office in Mount Vernon, Wa. When they were bought by the nationwide brokerage firm Shearson/Lehman Hutton I continued to manage the Mount Vernon branch until I joined a new northwest based firm Ragen MacKenzie Inc. (now Baird/Wealth Management) to manage their two new offices in Mount Vernon and Anacortes. Later, to be able to offer true discount brokerage services, I joined Acument Securities/First Discount Brokerage as a branch manager. In 1992 I founded Performance Tracking Inc. an independent, family-owned registered investment advisory practice. I work from an office in my home near Anacortes, Wa. where I meet with investors by appointment. Jim Bunker