Transaction Type |
Fee Charge |
401k Annual Maintenance (per account) |
$250.00 |
990-T Return, Preparation, and Filing |
$150.00 |
ACATS - Internal |
$75.00 |
ACATS - Outgoing Non-Retirement |
$75.00 |
ACATS - Outgoing Partial |
$75.00 |
ACATS - Outgoing Retirement |
$75.00 |
ACH Notice of Change/Correction |
$5.00 |
ADR Cancellation / Creation |
$200 per transaction plus agent cable fees |
Alternative Investment Cancel Correction |
$10.00 |
Alternative Investment Fee |
$30.00 |
Alternative Investment Subscription Fees |
$250.00 |
Alternative Investment Trade |
$50.00 |
Alternative Investment-Receive/Deliver (delinking/link) |
$30.00 |
Blue Sheet Research Requests (per request) |
$25.00 |
Broker Requested statement copies |
$5.00 |
Cashless ESOP |
$300.00 |
Check Copies |
$15 |
Customer Verification - Domestic (per inquiry) |
$1.00 |
Customer Verification - International (per inquiry) |
$2.00 |
Data Management Research Requests (Hourly, 2 hour minimum) |
$150.00 |
Death Put |
$100.00 |
Dividend Check (per item) |
$5.00 |
DK Interest Rate (Domestic) |
EFF + 500 BPS |
DK Item Fee (per item) |
$20.00 |
DTC Delivery (per security) |
$25.00 |
DWAC (per event) |
$100.00 |
DWAC / DRS reject |
$125.00 |
Employee Stock Option Plan |
$100.00 |
Escheatment Paper Letter Notice (per envelope) |
$2.00 |
Escheatment Processing (per account) |
$75.00 |
Fail Financing (Foreign) |
20% |
Foreign Free Receives/Delivers |
$35.00 |
Foreign Security Transfer Fee |
$50.00 |
Historical Statements/Confirms |
$150.00 |
Inaccurate or Missing Trade Files |
$500.00 |
Incoming Wire Transfers (Domestic) |
$8.00 |
Incoming Wire Transfers (Foreign) |
$14.00 |
Limited Partnerships / Private Placements - safekeeping (per month) |
$25.00 |
Limited Partnerships / Private Placements [3] |
$250.00 |
NYSE Extensions (per item) |
$25.00 |
Manual Account Closure Fee |
$5.00 |
Margin Sell out fee (per ticket) |
$25.00 |
Non Transferable Stocks (per month, per security) |
$10.00 |
NSCC illiquidity charge |
$250.00 |
Outgoing Wire Transfers (Domestic) |
$25.00 |
Outgoing Wire Transfers (Foreign) |
$45.00 |
Overdraft/Use of Apex Funds/Day Loans |
10% |
Overnight Mail - Domestic (per request) |
$50.00 |
Overnight Mail - International/Canada (per request) |
$100.00 |
Paper Check Draft/regular mail - domestic |
$5.00 |
Paper Check Draft/regular mail - international |
$10.00 |
Paper Confirm Fee (Retail Paper Only) (per confirm) |
$2.00 |
Paper Prospectus Fee (Domestic) |
$2.50 |
Paper Prospectus Fee (Foreign) |
$8.50 |
Paper Prospectus Fee Per Line (Domestic) |
$2.50 |
Paper Prospectus Fee Per Line (Foreign) |
$8.50 |
Paper Statement Fee (Retail Paper Only) (per statement) |
$5.00 |
Paper Tax Statement Fee (Retail Paper Only) (per statement) |
$5.00 |
Physical cert request from electronic shares |
$900.00 |
Physical trade settlement fee |
$300.00 |
Physicals Deposit Domestic |
$300.00 |
Physicals Deposit Foreign |
$350.00 |
Physicals Foreign Accommodation Transfer |
$350.00 |
Prepayment - ($20.00 if amount is less than $10,000. If amount is over $10,000, 0.2% of unsettled amount) |
$20.00 if amount is less than $10,000. If amount is over $10,000, 0.2% of unsettled amount |
Proxy Voting (Foreign): ICSD - All Other Custody Local Settlement Zones |
$250.00 |
Proxy Voting (Foreign): ICSD - Euroclear and ClearStream |
$125.00 |
Reorg Physical Processing Fee |
$125 plus transfer agent fees |
Reorg Wire Fee (domestic) |
$25.00 |
Reorg Wire Fee (international) |
$50.00 |
Reorganization Activity - domestic voluntary/Post actionable reorgs - per CUSIP, per account |
$50.00 |
Reorganization Activity - international voluntary/Post actionable reorgs - per CUSIP, per account |
$100.00 |
Retirement Plan Services Annual Maintenance (per account) |
$20.00 |
Retirement Plan Services Termination Fee (per event) |
$60.00 |
Return Mail (per piece) |
$2.00 |
Returned ACH (per return) |
$20.00 |
Returned Checks/Wires and Recalls (including amendment repairs) |
$30.00 |
S3 Execution Portal Access Terminal |
$500.00 |
Safekeeping - Lost Certificate Replacement 3% of cert value 250.00 min. |
3% of cert value (250 min) |
Safekeeping - Monthly (per account, per CUSIP) |
$5.00 |
Safekeeping - Withdrawals (per withdrawal) |
$60.00 |
Short Forced Buy In fee (per ticket) |
$25.00 |
Split Settlement (Euroclear/DTCC) |
$75.00 |
Statement Inserts (per acct, per month) |
$0.25 |
Statement or Confirm Logo Revision/Client Changes |
$500.00 |
Stop Payments on Apex Issued Checks |
$30.00 |
Tax Form 5498 |
$5.00 |
Third Party Distribution Notification |
$2.00 |
Transfers - Accommodation (DRS) (per security) |
$115.00 |
Transfers - Accommodation T & S (per security) |
$235.00 |
Transfers - Legal (per security) |
$150.00 |
Transfers - Restricted (per security) |
$465.00 |
Transfers - Rush T & S Premium (per security) |
$350.00 |