Are there any Additional Fees?
There may be depending on type of account. Any transactional or service fees (sometimes termed brokerage fees), individual retirement account fees, qualified retirement plan fees, account termination fees, or wire transfer fees will be borne by the account holder per the custodian of record’s separate fee schedule. We will ensure the client receives a copy of our custodian’s fee schedule at the beginning of the engagement, and the client will be notified of any future changes to these fees by the custodian of record and/or third party administrator for certain tax‐qualified plans. Fees paid by our clients to our firm for our advisory services are separate from any of these fees or other similar charges. In addition, advisory fees for our firm’s services are separate from any transactional charges a client may pay, as well as those for mutual funds, exchange‐traded funds (ETFs), exchange‐traded notes (ETNs), or other investments of this type. Per annum interest at the current maximum statutory rate may be assessed on fee balances due more than 30 days; we may refer past due accounts to collections or legal counsel for processing. We reserve the right to suspend some or all services once an account is deemed past due.
Other Annual Fees that you may incur:
Annual Fee
Amount
Advantage Account (Debit card and Check writing)
$125 Annual Fee
Aged non-transferable securities (held in account)
$0.00
Basic Check writing
$0.00
Custodial Accounts (UGMA & UTMA) Inactivity Fee
$0.00
FCC Custodian IRA
$10 Annual Fee
Inactivity Fee
$0.00
Service
Amount
Bond Redemption/Conversions (certificates)
$0.00
Cancel & Rebills (post trade date)
$15.00 (May increase when trades have multiple fills)
Cash Debit
Standard Margin Rates
Confirm Postage and Handling to customer
$2.50 Paper Delivery
Deposit/Withdrawal at Custodian (DWAC) Fee
$150 outbound
Direct Registration Reject Fee
$75 per item
Electronic Confirm Delivery
$0.00
FCC Custodian IRA Termination Fee
$95
Lost Certificate
Issued by FCC Within 90 days
$0.00
Issued by FCC After 90 days
$50 plus transfer bonding
Lost by Customer
$50 plus transfer bonding
Limited Partnership/Alternative Investments
Initial Purchase
$75.00
Subsequent purchases for same CUSIP same a/c
$50.00
Transfer and/or Re-registration (per CUSIP)
$75.00
Annual Fee (per CUSIP)
$100.00 (max $600 per account)
Non-Sufficient Funds (Advantage Checks drawn on account)
$20.00
Option Exercise/Assignment Surcharge
$0.00 (standard ticket charges apply to trades generated)
Overnight Delivery
pass through
Overnight Saturday Delivery
pass through
Physical Certificate Reject Fee
$50 per item
Pledge Account Setup Fee
$0.00
Pre-Payment
Standard Margin Rates
Processing ACAT Transfer Out
$95.00
Reorganization Activity
Non-Physical
$0.00
Instructions received after expiration cut-off
$250.00 per item
Reg. T Extensions
$5.00
Return of Deposited Checks
$10.00
Safekeeping Fee
$25 per security; $250 max/yr per acct
Stop Payment
$25.00
Transfer & Ship (per item)
Standard Delivery
$250.00
Non DTC Rush Delivery
$200.00
DTC Rush Delivery
$500.00
Re-registration of Physical Certificate
$125.00
GNMA Certificate Issuance
$35.00
Foreign Security Certificate Issuance
$250.00
Transfer on Death Establishment
$0.00
Transfer on Death Termination
$0.00
Wire Transfers
$20.00
