Maximum Product Level Fees
Fee Amount | ||||
---|---|---|---|---|
Product Fee Type | Electronic | Non-electronic | Frequency | Included in WealthPort Program Fee |
Stocks, Exchange Traded Funds (ETF)1 | ||||
International Surcharge/foreign receive and delivery fees2 | $50-$75 | $50-$75 | Per International Security | |
Purchase Fee | $19.00 | $19.00 | Per Transaction | |
Penny Stock (Low Priced Speculative Securities not traded on an exchange under $5.00) | $74.00 | $74.00 | Per Transaction | Not allowed on the WealthPort® Program Fee |
Redemption Fee | $19.00 | $19.00 | Per Transaction | |
Post Settlement Correction Fee | $5.00 | $5.00 | Per Transaction | |
Mutual Funds | ||||
Periodic Investments Purchase Fee | $0.50 | $0.50 | Per Transaction | |
Exchange/Concession Fee | $0-$19 | $0-$19 | Per Transaction | |
No Transaction Fee (NTF) Mutual Funds3 | $0.00 | $2.00 | Per Transaction | |
Purchase Fee | $0-$19 | $0-$19 | Per Transaction | |
Redemption Fee | $0-$19 | $0-$19 | Per Transaction | |
Post Settlement Correction Fee | $5.00 | $5.00 | Per Transaction | |
Systematic Withdrawal Redemption Fee | $0.50 | $0.50 | Per Transaction | |
Fund Family Surcharge Fee for Purchase or Redemption for following funds: | $5.00 | $5.00 | Per Transaction | |
Options | ||||
Purchase Fee | $19 + $2 Per Contract | $19 + $2 Per Contract | Per Transaction | |
Redemption Fee | $19 + $2 Per Contract | $19 + $2 Per Contract | Per Transaction | |
Post Settlement Correction Fee | $5.00 | $5.00 | Per Transaction | |
Fixed Income - Corporates, Municipals, Governments, Treasuries, Certificates of Deposit, CMOs, Mortgage-backed Securities, etc. | ||||
Clearing Charge - Agency Trades | $30.00 | $30.00 | Per Transaction | |
Clearing Charge - Principal Trades | $39.00 | $39.00 | Per Transaction | |
Post Settlement Correction Fee | $5.00 | $5.00 | Per Transaction | |
Unit Investment Trusts (UITs) | ||||
Purchase Fee | $30-$39 | $30-$39 | Per Transaction | |
Redemption Fee | $30-$39 | $30-$39 | Per Transaction | |
Post Settlement Correction Fee | $5.00 | $5.00 | Per Transaction | |
Precious Metals | ||||
Purchase Fee | $45.00 | $45.00 | Per Transaction | |
Redemption Fee | $45.00 | $45.00 | Per Transaction | |
Post Settlement Correction Fee | $5.00 | $5.00 | Per Transaction | |
Alternative Investments (Defaults to Client) | ||||
Purchase Fee | $50.00 | $50.00 | Per Purchase | |
Redemption Fee | $50.00 | $50.00 | Per Redemption | |
Miscellaneous Fee | ||||
Commission Account Service charge | $3.50 | $3.50 | Per Trade | Not Applicable for WealthPort Accounts |
1Listed 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.
2This fee may be charged on securities held in safekeeping, cleared, and/or settled by a foreign entity.
3Size restrictions on NTF fund purchases may apply. Additional charges may apply.