| Overnight Delivery (UPS) |
$50.00 |
Per item |
| International Delivery (UPS) |
$120.00 |
Per item |
| DWAC charge |
$100.00 |
Per item |
| DWAC Reject charges |
At Cost |
Per item |
| Safekeeping / Reconciliation / Vault Fee |
$70.00 |
Per year (charged quarterly) |
| Re-registration of Stock or Alternative Investment |
$70.00 |
Costs |
| Clearance or Transfer of Restricted Stock |
$120.00 |
Costs |
| Certificate request DTC |
$1,500.00 |
Per certificate |
| Rush Withdrawal DTC |
$200.00 |
Additional |
| Penny stock re-registration w/agent (domestic) |
$350.00 |
Per certificate |
| Penny stock re-registration w/agent (Canadian) |
$950.00 |
Per certificate |
| Rejected deposits DTC or agent |
$210.00 |
Per certificate |
| Transfer agent charges |
As incurred |
|
| Long Positions (Sub penny Book Entry) |
$0.00 |
Per share, monthly basis |
| COR Assisted Dividend Posting (Asset not held at COR) |
$25.00 |
Per item |
| Annual Custodial Fee |
$60.00 |
Per plan |
| Transfers (including transfer of Roth to/from Traditional IRA) |
$100.00 |
Per transfer |
| Limited Partnerships/AIP |
$120.00 |
Per position annualy charge quarterly |
| Termination Fee |
$60.00 |
Per plan |
| Certificate Deposit |
$25.00 |
Per position/per customer |
| Cashless Stock Options |
$35 min |
1% of proceeds Plus Costs ; per item |
| Reg.-T Extension |
$40.00 |
Per extension |
| TOD Distributions |
$250.00 |
Per distribution |
| Prepayment of Unsettled Funds |
$40.00 |
|
| ACAT – Non-ACAT (Full or Partial) Transfer (Transfer Out) plus Free delivery charge for each position. |
$100.00 |
Per account |
| Voluntary Tender/Exchange Offer/Bond Puts |
$40.00 |
Per election |
| Bond Redemption/Conversion (Physical Only) |
$70.00 |
Plus Costs |
| Worthless securities processing charges |
$30.00 |
Per security processed |
| Mandatory Reorg Corporate Actions |
$35.00 |
Per account |
| Dividend Reinvest |
$2.00 |
Per dividend reinvestment entry |
| Cash Dividend Outgoing Check |
$15.00 |
Per check |
| Cash Dividend Outgoing ACH |
$0.50 |
Per ACH |
| Manual Options Exercise Request |
$35.00 |
Per request |
| Handling (charge to customer)* |
$0.50 |
|
| Physical Settlements |
$135.00 |
Plus Costs |
| Free Deliveries DTC |
$30.00 |
Per security |
| NY Window / Physical Delivery |
$60.00 |
Per security |
| Trades Settled Same-Day (Cash Trades) |
$25.00 |
Per trade |
| Transfer In and Out/Physical Certificate (Foreign) |
$175.00 |
Costs |
| Foreign Custody Fee |
2.5 bps annualy **subject to change based on local market rates |
Monthly; per security |
| Stop payments |
$30.00 |
Per check |
| Returned Checks |
$50.00 |
Per check |
| Photocopies of Checks |
$15.00 |
Per check |
| Returned ACH Items |
$35.00 |
Per return |
| Wire, Domestic (Outgoing) |
$40.00 |
Per wire |
| Wire, International (Outgoing) |
$100.00 |
Per wire |
| Wire Research Requets / Service Messages |
$60.00 |
Per request |
| Foreign Currency Conversions |
$60.00 |
Per conversion |
| Foreign Currency Transaction Postings |
$35.00 |
Per posting |
| Check Writing Stop Pays |
$30.00 |
Per stop |
| CCPA Checkwriting and Platinum Card |
$100.00 |
Per year |
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