People: TD Ameritrade Holding Corporation (AMTD.O)

AMTD.O on Nasdaq

16.60USD
9 Feb 2010
Price Change (% chg)

$-0.18 (-1.07%)
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$16.60
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$17.02
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Volume
9,305,939
Avg. Vol
9,757,070
52-wk High
$21.30
52-wk Low
$10.09

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Summary

Name Age Since Current Position
Moglia, Joseph 60 2008 Chairman of the Board
Tomczyk, Fredric 54 2008 President, Chief Executive Officer, Director
Clark, W. Edmund 62 Vice Chairman of the Board
Gerber, William 51 Chief Financial Officer, Executive Vice President
Kelley, David 49 2008 Chief Operating Officer, Executive Vice President
Koplow, Ellen 50 Executive Vice President, General Counsel, Secretary
Sidebottom, Peter 47 2009 Executive Vice President - Product, Marketing and Client Experience
Bradley, J. Thomas 47 2009 Executive Vice President - TD AMERITRADE Institutional Services
Bunch, John 43 2009 Executive Vice President - Retail Distribution
Ricketts, J. Joe 68 2008 Director
Mitchell, Mark 49 2006 Director
Cohen, Marshall 74 2006 Director
Cook, Daniel 74 2005 Director
Prezzano, Wilbur 69 2006 Director
Ricketts, J. Peter 45 2007 Director
Hatanaka, William 55 2006 Director
Tessler, Allan 73 2006 Director
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Biographies

Name Description
Moglia, Joseph Mr. Joseph H. Moglia was elected Chairman of TD Ameritrade Holding Corporation effective October 1, 2008. From March 2001 through September 2008 he served as the Company’s chief executive officer. Mr. Moglia joined the Company from Merrill Lynch, where he served as senior vice president and head of the investment performance and product group for Merrill’s private client division. He oversaw all investment products, as well as the firm’s insurance and 401(k) businesses. Mr. Moglia joined Merrill Lynch in 1984 and, by 1988, was the company’s top institutional sales person. In 1992 he became head of global fixed income institutional sales and in 1995 ran the firm’s municipal division before moving to its private client division in 1997. Prior to entering the financial services industry, Mr. Moglia was the defensive coordinator for Dartmouth College’s football team. He coached various teams for 16 years, authored a book on football and wrote 11 articles that were published in national coaching journals. Mr. Moglia serves on the boards of directors of AXA Financial, Inc. and of its subsidiaries, The Equitable Life Assurance Society of the U.S, MONY Life Insurance Company and MONY Life Insurance Company of America. Mr. Moglia also serves on the board of trustees of the STRATCOM Consultation Committee and is a director for Creighton University and for the National Italian American Foundation. Mr. Moglia received an M.S. in Economics from the University of Delaware and a B.A. in Economics from Fordham University.
Tomczyk, Fredric Mr. Fredric J. Tomczyk is President, Chief Executive Officer and Director of TD Ameritrade Holding Corp. Mr. Tomczyk has served in this position since October 2008. From July 2007 until his current appointment, he served as the Company’s chief operating officer and was responsible for all operations, technology, retail sales functions and the registered investment advisor channel. He served on the Company’s board of directors from January 2006 until June 2007. From May 2002 until joining the Company, he served as the vice chair of corporate operations for TD Bank Financial Group. From March 2001 until May 2002, Mr. Tomczyk served as executive vice president of retail distribution for TD Canada Trust (a wholly-owned subsidiary of TD) and from September 2000 until March 2001 served as executive vice president and later as president and chief executive officer of wealth management for TD Canada Trust. Prior to joining TD Canada Trust, he was president and chief executive officer of London Life. Mr. Tomczyk serves on Cornell University’s undergraduate business program advisory council. Mr. Tomczyk graduated from Cornell University with a Bachelor of Science, Applied Economics & Business Management. He subsequently obtained his Chartered Accountant designation. In 2006, he was elected as a Fellow of the Institute of Chartered Accountants of Ontario.
Clark, W. Edmund Mr. W. Edmund Clark is Vice Chairman of the Board of TD Ameritrade Holding Corp. He is president and chief executive officer of TD Bank Financial Group. Mr. Clark has served in this position since December 2002. From July 2000 until his current appointment, Mr. Clark served as president and chief operating officer of TD Bank Financial Group. Prior to joining TD, Mr. Clark was president and chief executive officer of Canada Trust Financial Services. Mr. Clark is a director of The Toronto-Dominion Bank and TD Bank N.A. (a wholly-owned subsidiary of TD). Mr. Clark graduated from the University of Toronto with a Bachelor of Arts degree. He earned his Master’s degree and Doctorate in Economics from Harvard University.
Gerber, William Mr. William J. Gerber is Chief Financial Officer, Executive Vice President of TD Ameritrade Holding Corp. He was appointed chief financial officer in October 2006. In this role, he oversees investor relations, certain treasury functions and finance operations, including accounting, business planning and forecasting, external and internal reporting, tax and procurement. He also oversees business development and corporate communications. From March 2000 until October 2006, he served as the Company’s managing director of finance, during which time he played a major role in evaluating merger and acquisition opportunities for the Company, including TD Waterhouse, Datek and NDB. Prior to joining the Company, he served as vice president of Acceptance Insurance Companies, Inc., where he was responsible for all aspects of mergers and acquisitions, investment banking activity, banking relationships, investor communications and portfolio management. Prior to joining Acceptance, Mr. Gerber spent eight years with Coopers & Lybrand, now known as PricewaterhouseCoopers, serving as an audit manager primarily focusing on public company clients. Mr. Gerber holds a B.B.A. in Accounting from the University of Michigan.
Kelley, David Mr. David M. Kelley is Chief Operating Officer, Executive Vice President of TD Ameritrade Holding Corp. He was appointed chief operating officer effective October 1, 2008. In this role, he oversees all operations, technology and strategic project management initiatives, including back-office support for the Company’s retail client service, institutional and clearing business units. From October 2007 until his current appointment, he served as the Company’s chief information officer. Mr. Kelley joined the Company in June 2006 as senior vice president of the retail investor group. From January 2005 to June 2006, Mr. Kelley was an executive consultant. Prior to January 2005, Mr. Kelley spent 19 years at Merrill Lynch, serving in a number of senior executive positions of increasing responsibility in finance and technology, most recently as chief technology officer, corporate divisions, from July 2002 to January 2005. Mr. Kelley received his M.B.A. from Rider University, where he also received his B.S. in Commerce. Mr. Kelley is also a CPA in the State of New Jersey.
Koplow, Ellen Ms. Ellen L.S. Koplow is Executive Vice President, General Counsel, Secretary of TD Ameritrade Holding Corp. She has served as general counsel since June 2001 and was named secretary in November 2005. She manages the Company’s legal and government relations departments. She joined the Company in May 1999 as deputy general counsel and was named acting general counsel in November 2000. Prior to joining the Company, Ms. Koplow was managing principal of the Columbia, Maryland office of Miles & Stockbridge P.C. Ms. Koplow graduated cum laude from the University of Baltimore Law School in 1983 where she was a member of the Heuisler Honor Society, a Scribes Award winner and a Comments Editor for the Law Review. Ms. Koplow also holds a B.A. in Government and Politics from the University of Maryland.
Sidebottom, Peter Mr. Peter Sidebottom is Executive Vice President - Product, Marketing and Client Experience of TD Ameritrade Holdings Corp. Mr. Sidebottom joined the Company as executive vice president, product, marketing and client experience, in February 2009. In this role, he is responsible for the Company’s product strategy, marketing and overall client experience, providing leadership and guidance on client-facing initiatives related to product development, client communications and marketing. He has nearly 20 years of experience in the financial services industry. Prior to joining the Company, Mr. Sidebottom spent five years at Wachovia Corporation, most recently serving as the head of enterprise planning and strategic initiatives and as chief operating officer of the finance division. Throughout his tenure with Wachovia, his responsibilities included strategic and financial planning, internal consulting, offshoring governance and strategy, global supply chain and supplier management, merger implementation management and corporate mergers and acquisitions. Prior to joining Wachovia, he was a partner with the consulting firm McKinsey & Company, Inc. and served as the assistant director of government relations at Stanford University. Mr. Sidebottom holds a B.A. in public policy from Stanford University and an M.B.A. from Harvard Business School.
Bradley, J. Thomas J. Thomas Bradley, Jr. joined TD Ameritrade Holding Corporation upon its acquisition of TD Waterhouse in January 2006 and was appointed president of TD AMERITRADE Institutional. In November 2009, he was named executive vice president of the Company. In this role, he oversees all institutional business functions, including the Company’s independent investment advisor services, directed brokerage, self-directed 401(k) and retirement trust businesses. Prior to January 2006, he spent nearly 20 years at TD Waterhouse managing a variety of retail and institutional businesses. He was most recently responsible for the U.S. independent advisor services, correspondent clearing and capital markets businesses. Prior to joining TD Waterhouse, Mr. Bradley was a financial advisor with Northwestern Mutual Life and RW Baird & Co. Mr. Bradley has received several industry awards, including The National Association of Personal Financial Advisors’ Special Achievement Award (2006), the Texas Tech Lifetime Achievement Visionary Award (2008) and Investment Advisor Magazine’s Most Influential People (2006 and 2009). Mr. Bradley holds a B.S. degree in business administration, with a concentration in finance, from the University of Richmond, Robins School of Business. He also holds several financial services industry securities licenses.
Bunch, John John B. Bunch joined TD Ameritrade Holding Corporation upon its acquisition of TD Waterhouse in January 2006 and was appointed president of retail distribution in June 2007. In November 2009, he was named executive vice president of the Company. In his current role, he is responsible for the Company’s branch network, investor centers, guidance solutions teams and investor education businesses. From January 2006 until June 2007, he served as President of Retail Sales. From 2004 to 2006, he served as senior vice president of branch distribution for TD Waterhouse, where he oversaw the nationwide retail branch network of over 140 branches. Prior to joining TD Waterhouse, he held numerous management positions in a 14-year career with Charles Schwab & Co., including divisional senior vice president, senior vice president for advice marketing and product development and senior vice president of development and training. Mr. Bunch holds several financial services industry securities licenses.
Ricketts, J. Joe J. Joe Ricketts served as Chairman of the Board of TD Ameritrade Holding Corporation until September 2008. He also held the position of Chief Executive Officer from 1981 through February 2001, except for the period from March 1999 to May 2000, during which he was co-chief executive officer, and the period from May 2000 to August 2000, during which he did not hold the position of chief executive officer. In 1975, Mr. Ricketts became associated with the Company and began serving as a director and officer. By 1981, he acquired majority control of the Company. Prior to 1975, Mr. Ricketts was a registered representative with a national brokerage firm, an investment advisor with Ricketts & Co. and a branch manager with The Dun & Bradstreet Corporation, a financial information firm. Mr. Ricketts is a former director of the Securities Industry Association, now known as the Securities Industry and Financial Markets Association. He served as a member of the district committee for District 4 of the NASD from 1996 to 1999. Mr. Ricketts received a B.A. in Economics from Creighton University.
Mitchell, Mark Mr. Mark L. Mitchell is Director of TD Ameritrade Holding Corp. He served as a director of the Company from December 1996 until January 2006 and served as a member of the Company’s board of advisors in 1993. He was reelected as a director in November 2006. Mr. Mitchell is a principal at CNH Partners, LLC, an investment management firm, which he co-founded in 2001. He was a finance professor at Harvard University from 1999 to 2003 and was a finance professor at the University of Chicago from 1990 to 1999. Mr. Mitchell was a senior financial economist for the Securities and Exchange Commission from 1987 to 1990. He was a member of the Nasdaq quality of markets committee from 2003 to 2005. He was a member of the economic advisory board of NASD from 1995 to 1998. Mr. Mitchell received a Ph.D. in Applied Economics and an M.A. in Economics from Clemson University and received a B.B.A. (summa cum laude) in Economics from the University of Louisiana at Monroe.
Cohen, Marshall Mr. Marshall A. Cohen is Director of TD Ameritrade Holding Corp. He is counsel to Cassels Brock & Blackwell LLP, a law firm based in Toronto, Canada, which he joined in 1996. Prior to joining that firm, Mr. Cohen served as president and chief executive officer of The Molson Companies Limited from 1988 to 1996. Mr. Cohen is a director of Barrick Gold Corporation, Broadpoint.Gleacher Securities Group, Inc. and TriMas Corporation. Mr. Cohen holds a Bachelors degree from the University of Toronto, a law degree from Osgoode Hall Law School and a Masters Degree in Law from York University.
Cook, Daniel Mr. Daniel W. Cook III is Director of TD Ameritrade Holding Corp. He has been a senior advisor to MHT Partners, L.P., an investment banking firm, since 2001. Mr. Cook is a retired partner of Goldman Sachs & Co., a major global investment banking firm. Mr. Cook was a general partner with Goldman Sachs from 1977 to 1992 and served as a senior director from 1992 to 1994. He serves on the executive board of the Edwin L. Cox School of Business at Southern Methodist University. Mr. Cook also serves as trustee or director of several charitable organizations. Mr. Cook received an M.B.A. from Harvard Business School and a B.A. from Stanford University.
Prezzano, Wilbur Mr. Wilbur J. Prezzano is Director of TD Ameritrade Holding Corp. He was employed with Eastman Kodak Company for over 30 years and served in various positions during that time, including as vice chairman of Eastman Kodak Company and chairman and president of Kodak’s greater China region, the positions that he held at the time of his retirement in 1996. Mr. Prezzano received a Bachelor’s degree and Masters in Business Administration from the University of Pennsylvania. Mr. Prezzano serves as a director of The Toronto-Dominion Bank, EnPro Industries, Inc., Lance, Inc. and Roper Industries, Inc.
Ricketts, J. Peter Mr. J. Peter Ricketts is Director of TD Ameritrade Holding Corp. J. Peter Ricketts is the founder of Drakon, LLC, an asset management company in Omaha, Nebraska. Mr. Ricketts previously served as a director of the Company from October 1999 to May 2006 before he resigned to campaign for election to the United States Senate for the State of Nebraska. From 1993 to 2005, Mr. Ricketts served in various leadership positions with the Company, including executive vice president and chief operating officer, corporate secretary, president of the private client division, senior vice president of strategy and business development, senior vice president of product development and senior vice president of marketing. Mr. Ricketts is the chairman of the Omaha board of Children’s Scholarship Fund. He is also a director of Chicago Baseball Holdings, LLC (the holding company for the Chicago Cubs Major League Baseball franchise), a director and president of the Platte Institute for Economic Research, Inc. and an advisory board member for the Alumni Capital Network, a private equity firm based in New York. He serves on the global advisory board for the University of Chicago Graduate School of Business, as a member of the board of directors of Bellevue University and as a member of the board of trustees for the American Enterprise Institute. Mr. Ricketts received an M.B.A. in marketing and finance and a B.A. in biology from the University of Chicago.
Hatanaka, William Mr. William H. Hatanaka is Director of TD Ameritrade Holding Corp. He is chairman and chief executive officer of TD Waterhouse Canada, Inc. (a wholly-owned subsidiary of TD) and group head, wealth management, for TD Bank Financial Group. He has over 30 years experience in the financial services industry. Prior to joining TD in 2003, Mr. Hatanaka was the chief operating officer for the wealth management arm of the Royal Bank of Canada. He has also held senior executive positions at brokerage firms RBC Dominion Securities, Richardson Greenshields Ltd., and Midland Walwyn Capital. Prior to his career in the financial services industry, Mr. Hatanaka played professional football in the Canadian Football League and was a member of the 1976 Ottawa Rough Riders Grey Cup Championship team. Mr. Hatanaka is the former chairman of the board for the Investment Industry Association of Canada and is a member of the board of directors for the York University Foundation, currently co-chairing the University Capital Campaign. He is also chairman of the diversity leadership council for TD Bank Financial Group. He holds a B.A. with Honours in Sociology and Economics from York University and has completed the Advanced Management Program at the Harvard Business School.
Tessler, Allan Mr. Allan R. Tessler is Director of TD Ameritrade Holding Corp. He has been chairman of the board and chief executive officer of International Financial Group, Inc., an international merchant banking firm, since 1987. He is also chairman of the board of Epoch Investment Partners, Inc., formerly J Net Enterprises. He has previously served as chief executive officer of J Net Enterprises, co-chief executive officer of Data Broadcasting Corporation, now known as Interactive Data Corporation, chairman of Enhance Financial Services Group, Inc. and chairman and principal shareholder of Great Dane Holdings. Mr. Tessler is the lead director and chair of the finance committee of Limited Brands, Inc. Mr. Tessler also serves as a director of EnerCrest. He serves as chairman of the board of trustees of the Hudson Institute and is a member of the board of governors of the Boys & Girls Clubs of America. Mr. Tessler holds a B.A. from Cornell University and an L.L.B. from Cornell University Law School.

Basic Compensation

Name Fiscal Year Total
Moglia, Joseph 9,936,460
Tomczyk, Fredric 8,096,770
Clark, W. Edmund --
Gerber, William 1,189,090
Kelley, David 1,907,220
Koplow, Ellen --
Sidebottom, Peter 2,141,860
Bradley, J. Thomas --
Bunch, John --
Ricketts, J. Joe 2,393,340
Mitchell, Mark --
Cohen, Marshall --
Cook, Daniel --
Prezzano, Wilbur --
Ricketts, J. Peter 3,216,450
Hatanaka, William --
Tessler, Allan --
As Of 29 Sep 2009

Options Compensation

Name Options Value
Moglia, Joseph 11,714,275 159,624,200
Tomczyk, Fredric 0 0
Clark, W. Edmund 0 0
Gerber, William 32,044 466,984
Kelley, David 0 0
Koplow, Ellen 0 0
Sidebottom, Peter 0 0
Bradley, J. Thomas 0 0
Bunch, John 0 0
Ricketts, J. Joe 3,597,322 48,206,770
Mitchell, Mark 0 0
Cohen, Marshall 0 0
Cook, Daniel 0 0
Prezzano, Wilbur 0 0
Ricketts, J. Peter 1,559,775 25,745,030
Hatanaka, William 0 0
Tessler, Allan 0 0

Insider Trading

Name Shares Traded Price
MOGLIA JOSEPH H 7,000 $16.93
MOGLIA JOSEPH H 7,000 $3.90
MOGLIA JOSEPH H 7,000 $17.40
MOGLIA JOSEPH H 7,000 $3.90
MOGLIA JOSEPH H 7,600 $3.90
MOGLIA JOSEPH H 400 $17.38
MOGLIA JOSEPH H 400 $3.90
MOGLIA JOSEPH H 7,600 $17.86
MOGLIA JOSEPH H 7,000 $18.05
MOGLIA JOSEPH H 7,000 $3.90
MOGLIA JOSEPH H 7,000 $17.92
MOGLIA JOSEPH H 7,000 $3.90
MOGLIA JOSEPH H 8,000 $3.90
MOGLIA JOSEPH H 8,000 $17.91
MOGLIA JOSEPH H 7,000 $3.90
MOGLIA JOSEPH H 7,000 $17.82
MOGLIA JOSEPH H 7,000 $17.98
MOGLIA JOSEPH H 7,000 $3.90
MOGLIA JOSEPH H 8,000 $18.18
MOGLIA JOSEPH H 8,000 $3.90
MOGLIA JOSEPH H 8,000 $18.22
MOGLIA JOSEPH H 8,000 $3.90
MOGLIA JOSEPH H 8,000 $18.57
MOGLIA JOSEPH H 8,000 $3.90
MOGLIA JOSEPH H 8,000 $18.83
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