Fees
| SERVICE FEES | |
| Retail Confirmation Fee | $30.00 |
| Paper Delivery Surcharge for Client Confirms1 | $0.75 |
| Paper Delivery Surcharge for Client Statements | $2.50 |
| ACAT Processing Transfer Out | $75.00 |
| Copies of Monthly Statements/Confirms | $10.00 per month |
| Foreign Security Custody Fee | $5.00 |
| (per position per month) | |
| DRS Reject | $30.00 + pass-through of |
| TA & DTC fees | |
| DRS Transfer | $100.00 + pass-through of |
| TA & DTC fees | |
| DTC/Government/DWAC Delivery | $30.00 + pass-through of |
| (per delivery) | TA & DTC fees |
| Other DTC Items (e.g., reorg, etc.) | $30.00 + pass-through of |
| TA & DTC fees | |
| Interested Party Confirm (per confirm) | $3.25 |
| Foreign Security Delivery (per delivery) | $100.00 |
| Inactive Account Fee (Annually per account)2 | $50.00 |
| Option Exercise/Assignment Surcharge | $25.00 |
| Overnight Delivery Package | $25.00 |
| Overnight Delivery Package (Saturday delivery) | $35.00 |
| Pledge Account Setup Fee | $100.00 |
| Pledge Account Annual Fee | $50.00 |
| Margin and COD Extensions | $10.00 |
| Rights/Warrants Subscriptions | $75.00 |
| Corporate Actions | $50.00 |
| Alternative Investments (per month per security) | $10.00 |
| PHYSICAL SECURITY FEES | |
| Accommodation Transfer (per certificate) | $100.00 |
| Bond Redemption/Conversion (physical certificates) | $100.00 |
| Employee Stock Option Processing | $50.00 |
| Foreign Physical Certificate Receive/Deliver | $250.00 |
| Legal Transfer (per transfer) | $50.00 + pass-through of |
| TA & DTC fees | |
| Restricted Security Clearance | $100.00 + pass-through of |
| (per delivery) | TA & DTC fees |
| Return Deposit of Certificates (DTC) | $150.00 |
| Vault/Safekeeping (per certificate per month) | $5.00 |
| Transfer & Ship | $600.00 + pass-through of |
| (per transfer per certificate) | TA & DTC fees |
| Rush Transfer & Ship | $750.00 + pass-through of |
| (per transfer per certificate) | TA & DTC fees |
| Precious Metal Safekeeping Fee | 50 bps per annum charged quarterly (min. $5/Qtr) |
Dawson James 1216
| CASH MANAGEMENT FEES | |
| Cash Debits | Standard Margin Rates |
| Federal Reserve Wire Transfer | $35.00 |
| International Wire Transfer | $50.00 |
| Non-Sufficient Funds (per item) | $40.00 |
| Paid CMA Overdraft (per item) | $35.00 |
| Pre-Payment | $35.00 + interest |
| Returned CMA Check (per item) | $40.00 |
| Rush CMA Checks | $75.00 |
| Check Request (per check) | $10.00 |
| ACH to Third Party (per transfer) | $10.00 |
| Stop Payment | $30.00 |
| IRA FEES | |
| Annual Fees (not prorated) | $50.00 |
| Private Placement Security – Processing Fee | $200.00 |
| Private Placement Security – Custody Fee | $100.00 |
| Profit Sharing Plan Fee | $65.00 |
| Termination Fee | $100.00 |
| Termination and Transfer | $150.00 |
| TRANSFER ON DEATH (TOD) FEES | |
| Establishment | $50.00 |
| Change of Beneficiary | $25.00 |
| Termination | $100.00 |
| Transfer to Beneficiary | $200.00 |
1 Clearing Firm reserves the right to adjust the surcharge based upon changes in postal, paper, vendor or other cost factors. The paper delivery surcharge for confirmations is accessed on a per trade basis and billed as incurred.
2 Inactive accounts are defined as accounts holding a security position for a calendar year (January 1 – December 31) without generating a) a trade or b) a free credit or margin interest of at least $100. Mutual fund systematic reinvestments and exchanges will be considered a trade. Dividend reinvestment activity is not considered a trade. Inactive fees do not apply to retirement accounts where Clearing Firm acts as custodian or servicing agent and collects service fees. Accounts exclusively holding book entry onlyǁfixed income positions or an aggregate FundVest position of $10,000 or more are exempt from this fee. Clearing Firm reserves the right to charge this fee on a pro rata basis for accounts that terminate their relationship with Clearing Firm and upon termination of the Fully Disclosed Clearing Agreement for any reason by either party.
Dawson James 1216