| Postage and
Handling |
Fees |
| Trade Confirmations,
per account, per day, U.S. Mail delivery |
$1.50 |
| Account Monthly
Statements, U.S. Mail delivery |
$5.00 |
| Trade Confirmations,
Electronic delivery |
FREE |
| Account Monthly
Statements, Electronic delivery |
FREE |
| CMA Accounts/Check Writing |
Fees |
| Check writing
capabilities from your account |
FREE |
| First Checkbook |
FREE |
| Checkbook
Reorders |
$15.00 |
| Copy of a
check |
$5.00 |
| NSF Money Market |
$25.00 |
| Stop payment
on a check |
$25.00 |
| Returned check
charge |
$25.00 |
| Annual fee for Spectrum Account with debit card only |
$50.00 |
| Annual fee for Spectrum Account with debit card and checks |
$50.00 |
| Clearing Firm Procedures |
Fees |
| Outgoing ACAT
to another clearing firm |
$50.00 |
| Incoming ACAT
from another clearing firm |
FREE |
| ACH transactions |
FREE |
| Check request
for withdrawal of funds/U.S. Mail |
FREE |
| Check request
for withdrawal of funds/Overnight delivery |
$15.00 |
| Check request
for withdrawal of funds/Sat. delivery |
$25.00 |
| Fed Funds
wire request for withdrawal of funds |
$15.00 |
| Fed Funds
wire request for withdrawl of funds from futures account |
$25.00 |
| Fed Funds
wire - Incoming |
FREE |
| Journal request
between related accounts |
FREE |
| DTC transfer
per stock |
$15.00 |
| Returned check
charge |
$25.00 |
| Stock certificate
request |
$75.00 incl. FedEx |
Voluntary
Corporate Actions
(tender offers, elections, exchange offers, etc.) |
Variable |
| Stock Reorganizations
(stock splits, symbol changes) |
FREE |
Inactive Account
(applicable to accounts under $100 in equity
and inactive for over 12 months) |
$50.00 |
| Archived statement
retrieval (older than one year) |
$25 per quarter/minimum
$25 charge |
| Reg T and
15c-3 (short sale) extension requests |
$25.00 per request |
| Restricted
stock certificate processing (144, 144-K, Prospectus Sale) |
$190.00 incl. FedEx + pass thru TA |
| Restricted stock certificate re-registration |
$65 incl. FedEx + pass thru TA |
| Alternative investments, including limited partnerships, private limited partnerships, LLCs, promissory notes, private placements |
$30/qtr, $50 setup |
| Safekeeping Fee (Per Security) |
$30/qtr |
