Pershing Fee Schedule - Client Fees

Customer Fees

Price

Unit

Mutual Fund Exchanges (Includes Confirm Fee) $5.00 per Exchange
Confirmation Processing Fee $6.00

per Confirm

Paper Delivery Surcharge (No Charge for E-Delivery) $1.50 per Event
Margin Extensions $20.00 per Event
Wired Funds $25.00 per Transfer
Annual Custodial Maintenance Fee (IRA, Roth IRA, Education IRA, 5305 SEP) $50.00  
Annual Custodial Maintenance Fee (Traditional IRAs, Roth IRAs - Mutual Fund Only) $12.00  
Annual Custodial Maintenance Fee (403(b)(7), Prototype SEP, SIMPLE) $75.00  
Annual Custodial Maintenance Fee (Qualified Retirement Plans)

$75.00 /$125.00

 
Roth IRA Conversion $25.00  
All Retirement Accounts - Termination Fee $95.00 per Event
Inactivity Account Custody Fee (mixed positions)** $35.00  
Inactivity Account Custody Fee (mutual funds)** $22.50  
Tax Lot Accounting (Paper Delivery)(Automatic for nonā€IRA accts. exceeding $25,000) $24.00  per Year
Tax Lot Accounting (Online) Free per Year
Alternative Investment Annual Service Charge $50.00 per Year
Unregistered Alternative Investment Annual Service Charge $125.00 per Year
Performance Reporting $36.00 per Year
Outgoing Account Transfers $100.00 per Transfer
Transfer (Register & Ship) Equities/Bonds $65.00 per Transfer
Bond Redemptions, Puts and Calls - In Account $5.00 per Item
Bond Redemptions, Puts and Calls - Physical (Within 30 Days) $20.00 per Item
Foreign Receive and Delivery Fee (Euroclear) $50.00 per Item
Foreign Receive and Delivery Fee (Other Foreign Securities) $80.00 per Item
Foreign Securities Safekeeping $5.00 per Acc, Per Position, Per Month
Customer Securities Safekeeping $12.00 per Acc, Per Position, Per Month
Mandatory Reorganization Activity - In Account $20.00 per Event
Mandatory Reorganization Activity - Physical $25.00 per Event
Voluntary Reorganization Activity $55.00 per Event
Legal Transfer $150.00 per Transfer
LP - Subscription Fee $50.00 per Purchase
LP - Redemption Fee $50.00 per Position
LP - Re-registration Fee $50.00 per Position
LP - Annual Administration Fee $50.00 per Position
LD - Document Review Fee to Determine Ability to Custody $100.00 per Review, regardless of outcome
IRS 990-T UBTI Tax Return Filing $200.00

per Return filed

Asset Management Accounts (Corestone)
Silver Account $25.00 per Year
Silver Plus Account $75.00 per Year
Gold Account $125.00 per Year
Platinum Account $175.00 per Year
Corporate Gold Account $175.00 per Year
Corporate Platinum Account $275.00 per Year
Returned Checks $30.00 per Event
Stopped Payments $30.00 per Event
Check Re-Order (Non-Corporate) $25.00 per Event
Margin Debit Schedule
$0 to $9,999 3.00% above PBLR
$10,000 to $29,999 2.50% above PBLR
$30,000 to $49,999 2.00% above PBLR
$50,000+ 1.50% above PBLR
Advisor Managed Accounts (ANG) Clearing Fees*
Equities and Exchange Traded Funds $15 per transaction
Options $15  per transaction + $1 per contract
Options Excercise and Assignment $35 per transaction
Fixed Income Securities $25 per transaction
Load and No Load Mutual Funds $15 per transaction
Unit Investment Trusts $35 per transaction

*These charges are in addition to your agreed upon advisory fee.

**An inactive account is defined as an account holding a security position for a calender year (Jan. 1-Dec. 31) without generating a trade, or free credit/margin interest of $100 or more. Systematic reinvestment activity in Mutual Funds (SYS system) and/or exchange activity in mutual funds (FundServ) will be considered as a trade. However, dividend reinvestment activity is not considered as a trade.