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Pershing Ticket Charges

Product Fee Type Fee Amount1 Frequency Included in WealthPort Program Fee
Stocks, Exchange Traded Funds (ETF)2
International Surcharge/foreign receive and delivery fees2 $50-$75 Per International Security  
144A/Reg S Exchange $50.00 Per event  
Purchase Fee $0-$19 Per Transaction X
Penny Stock (Low Priced Speculative Securities not traded on an exchange under $5.00) $74.00 Per Transaction Not allowed on the WealthPort Program
Redemption Fee $19.00 Per Transaction X
Post Settlement Correction Fee $5.00 Per Transaction  
       
Mutual Funds
Periodic Investments Purchase Fee $0.50 Per Transaction X
No Transaction Fee (NTF) Mutual Funds3 $0.00 Per Transaction  
Purchase Fee $0-$19 Per Transaction X
Redemption Fee $0-$19 Per Transaction X
Post Settlement Correction Fee $5.00 Per Transaction  
Fund Family Surcharge Fee for Purchase or Redemption for following funds: $10.00 Per Transaction X
       
Options    
Purchase Fee $0-$19 + $2 Per Contract Per Transaction X
Redemption Fee $0-$19 + $2 Per Contract Per Transaction X
Post Settlement Correction Fee $5.00 Per Transaction  
       
Fixed Income - Corporates, Municipals, Governments, Treasuries, Certificates of Deposit, CMOs, Mortgage-backed Securities, Structured Products, etc.    
Clearing Charge - Agency Trades $30.00 Per Transaction X
Clearing Charge - Principal Trades $39.00 Per Transaction X
Post Settlement Correction Fee $5.00 Per Transaction  
       
Unit Investment Trusts (UITs)    
Purchase Fee $30-$39 Per Transaction X
Redemption Fee $30-$39 Per Transaction X
Post Settlement Correction Fee $5.00 Per Transaction  
       
Precious Metals    
Purchase Fee $45.00 Per Transaction X
Redemption Fee $45.00 Per Transaction X
Post Settlement Correction Fee $5.00 Per Transaction  
       
Alternative Investments (Defaults to Client)
Purchase Fee $50.00 Per Purchase  
Redemption Fee $50.00 Per Redemption  
       
Miscellaneous Fee    
Commission Account Service Charge $3.50 Per Trade Not Applicable for WealthPort Accounts

1 Custom pricing may be available for offices with large trading volumes. Please contact your Cambridge Regional Director for more information.

2 Listed stock and ETFs (i.e. stock and ETF orders greater than 4999 shares) may incur a half-a-cent per share charge, which if incurred, will be charged to the advisor. Please contact Cambridge's Trade Desk prior to placing such orders to discuss alternatives.

3 This fee may be charged on securities held in safekeeping, cleared, and/or settled by a foreign entity.