Various Fees |
| Mutual Fund Transactions |
$35 per trade |
| Option Regulatory Fee (CBOE, ISE, PHLX, BOX) |
$0.0145/contract |
| Annual IRA Maintenance Fee |
$35 |
| Excessive Cash Transaction Fee |
$20 |
| Wire Fee - Domestic |
$15 |
| Wire Fee - Foreign |
$50 |
| Wire Amendments/repairs |
$15 |
| ACH Notice of Correction |
$5 |
| ACAT Fee - Incoming |
$5 |
| ACAT Fee for IRA's - Incoming |
$25 |
| ACAT Fee for IRA's - Outgoing |
$50 |
| NYSE Extensions |
$10 |
| Overnight Delivery |
$20 |
| Overnight Foreign Delivery |
$30 |
| Overnight Saturday Delivery |
$25 |
| Prepayment |
$25 |
| Stop Payment |
$30 |
| Insufficient Funds - Checkwriting |
$30 |
| Returned Check |
$25 per check |
Inactive Account Safekeeping Charge
(Charged per a/c with less than 1 trade per year) |
$50 |
| IRA Closing Fee |
$60 |
| Margin Sell out Fee |
$25 each |
| Non-transferable stocks |
$7.50 per month each |
| Re-Org Items and Tenders |
$50 per item per account |
| Worthless Security Trades |
$1 |
| Deposit Physical Certificates |
$135 ($200 - Foreign) |
| Deposit Electronic Certificates |
$30 |
| Restricted to agent |
$60 |
| Plus TA fee |
varies |
| Plus UPS fee |
$40 per cusip |
| Restricted to DTC |
$210 per cusip |
| ACH Recalls/Reversals |
$30 / Returned Wire $30 |
| ACH Return |
$30 / Wire Recalled $30 |
| Wire Investigations |
$50 / MM Check Re-orders $10 |
| Transfership request to mail a certificate to the customer |
$135 per certificate requested (if more than one certificate for same cusip this is another $135.00 per certificate) |
| DRS certificate surcharge |
$115 per certificate in addition to the $135.00 fee above. If a client requests a certificate for an item showing DRS there is a surcharge. Margins will need to know before request is approved. Transfership will note on the request. |
| DTC Delivery |
$10 |
| Restricted Transfer |
$205 per security |
| Accommodation Transfers (T&S) |
$235 per security |
| RUSH transfer ship fee |
$350 per certificate. |
| DWAC and DRS |
$50 plus any transfer agent fee. If there is a reject due to customer invalid info the customer will be charged transfer agent fee which varies by agent. |
| ESOP trade |
$100 per trade |
| Quarterly |
$15 per account per cusip |
| Withdrawal From Safekeeping |
$40 per withdrawal |
| Limited Partnerships/Private Placements 5&1 |
$250 per investment |
| Safekeeping |
$75 each per quarter |
