William T. Yates

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William T. Yates Occupation Treasurer Employer TD Ameritrade Location Chicago Website www.theocc.com Bill Yates currently is managing director of finance for TD Ameritrade, where he is responsible for providing regulatory financial support for the firm's back office securities clearance and settlement functions, and leading financial analysis, planning and reporting functions for the company's technology and operations organizations. His experience at TD Ameritrade also includes broker/dealer balance sheet management and oversight, including operational liquidity considerations. He plays a central role in the firm's work and relationships with various securities and futures regulators, and has been an active participant in TD Ameritrade's online brokerage industry consolidation activities. Background Before joining TD Ameritrade in 1996, Yates spent nine years with the public accounting firm Arthur Andersen LLP. He has served in various capacities in the securities industry, including roles with the FINRA financial responsibility committee, and more recently, FINRA's midwest district committee. Education Yates has a B.S. from the University of Nebraska. References

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