Schedule of Fees
2011 |
|
ACAT – Non-ACAT Transfer Out of Legent |
$50 per account |
|
Checks |
|
|
Stop Payments |
$15 per check |
|
Returned Checks |
$25 per check |
|
Photocopies of Checks |
$ 5 per check |
|
Check Writing stop Pays |
$15 |
|
Prepayments |
$25 plus interest |
|
Returned ACH Items |
$25 |
|
Individual Retirement Accounts (IRA) |
|
|
IRA Annual Custodial Fee |
$35 per plan |
|
IRA Transfers (including transfer of
Roth to Traditional IRA or vice Versa) |
$50 per check |
|
IRA Limited Partnerships |
$35 per position |
|
IRA Termination Fee |
$50 per plan |
|
Limited Partnership Charges |
|
|
Limited Partnership / Private Asset
Review |
$200 |
|
Deposit, Set-up & Pricing |
$200 |
|
Annual Fee |
$35 |
|
Re-registration |
$50 |
|
Transfer on Death Registration (per
account) |
|
|
Application Fee |
$50 |
|
Change / Revocation |
$50 |
|
Distribution of Assets from Legent |
$200 |
|
Replacement of Lost Certificates |
|
|
Replacement of Lost Certificates not in
Legent’s Possession |
$50 plus additional costs |
|
Stops on Certificates |
$35 |
|
Restricted Stock |
|
|
Clearance or Transfer of Restricted
Stock |
$35 + costs |
|
RUSH |
$50 + costs |
|
Physical Security Processing |
|
|
Certificate request (penny stock)
DTC |
$200 per 9,999,999 shares |
|
Certificate request
(other) DTC
|
$175 per certificate |
|
Rush
Withdrawal
DTC |
$150 additional |
|
Physical deposits ( penny stock)
DTC |
$90 per certificate |
|
Penny stock re-registration w/agent
(domestic) |
$130 per certificate |
|
Penny stock re-registration w/agent
(Canadian) |
$200 per certificate |
|
Rejected
deposits
DTC or agent |
Additional $175 per certificate |
|
Free
Deliveries
DTC |
$15 |
|
Transfer Agent Charges |
As incurred by Legent |
|
Coupon Processing (per Shell) |
$20 |
|
Cashless Stock Options |
$25 plus incurred charges |
|
Bearer Bond Withdrawals |
$25 plus incurred charges |
|
Wire Fee (domestic) |
$20 |
|
*International |
$30 |
|
Overnight Delivery |
$20 |
|
*International |
$30 |
|
*New Zealand and Australia |
$50 |
|
Tender / Exchange Offer (Voluntaries
Only) |
$25 |
|
Bond Redemption / Conversion |
$25 |
|
Reg-T Extension |
$15 |
|
Foreign Securities |
|
|
Transfers in and Out |
$75 |
|
Physical Certificate / Deposit |
$250 |
|
Foreign Trade Settlement (unless noted
in Schedule A) |
$75 |
|
DWAC Charge |
$75 |
|
Reject Charge |
At Cost |
|
Vault Services (per security) |
$20 per year |
|
Guaranteed Monthly Statements |
$25 per year |
|
Exempt Client Special Requested 1099 |
$15 each 1099 issued |
|
Visa Debit Card |
|
|
Gold |
$50 annual |
|
Platinum |
$75 annual |
|
Illiquid Securities Charges |
As Incurred by Legent |
|
Annual Maintenance Fee (Non IRA
Accounts) |
$75 |
|
Firm Commission (Per Transaction)* |
$49.95 |
|
|
INTEREST RATE
|
LEGENT RATE
PLUS |
|
1.0-
49,999.99 |
+ 3.500 |
|
50,000.00-99,999.99 |
+ 3.250 |
|
100,000.00-249,999.99 |
+ 3.000 |
|
250,000.0-499,999.00 |
+ 2.750 |
|
500,000.00 |
+ 2.625 |
The above
fees for services provided by the clearing firm may be
charged to your account at the time of/or prior to the
service being rendered. A&F and/or A&F's Representative(s)
may receive a portion of the fees charged by the clearing
firm (including, but not limited to, margin interest & Firm
Commission). These fees and charges may be passed on to you
to include the costs associated with the processing of
transactions and may be a source of additional compensation
to the firm and/or registered representative.
*A&F
Financial Securities charges a $49.95 Firm Commission on all
transactions in addition to any applicable fees, charges,
taxes, commissions, markups/markdowns charged to your
account. A portion of this commission is remitted to A&F’s
clearing firm and the remainder is retained by A&F as
transaction based remuneration and may be a profit to the
firm, as well as additional compensation to the firm and/or
registered representatives. The firm commission is used for
the following expenses but not limited to: clearing firm
expenses (see above), online access, clearing firm account,
fidelity bond, insurances, support staff salaries, rent,
office supplies, IT support and equipment, state
registrations, legal, FinOP & accounting, consultants,
telephone, overnight and regular mail, training,
subscriptions & publications, FINRA fees, general office
expenses, NASDAQ fees, AML charges, exchange fees, in
addition to other various vendors and/or expenses not
previously mentioned. Please contact your account executive
if you have any questions or need additional information.
Schedule of Fees
2011
|
IRA Annual Fee |
$35 |
|
Custody Fees |
No Charge |
|
Statement Mailing |
No Charge |
|
Dividend Reinvestments |
No Charge |
|
ClientLink (On-Line Customer Access) |
No Charge |
|
Prepayments |
$25 |
|
Reorganization Items (Subscriptions,
Redemptions, Tenders, Exchanges, and
Conversions) |
$20 per issue |
|
Legal Security Transfers |
$40 per item |
|
ACAT - OUT |
$75 |
|
Foreign Securities |
$25 plus any pass through charges |
|
Foreign Receive and Deliver Securities |
Euroclear:$50
All Others: $75 |
|
Wired Funds - Domestic |
$20 |
|
Wired Funds - International |
$25 |
|
Stop Payment Issued Less Than 7 Business Days or
at Clients Request |
TBD |
|
Request for Special Services |
Varies |
|
Exercise of ESOP |
$30 |
|
Lost Certificates |
$20 plus any out of pocket charges |
|
Worthless Securities Processing |
TBD |
|
Adjustments to Original Wire Transfer
Instructions |
TBD |
|
NSF Checks |
$25 |
|
Letter of Authorization |
$25 |
|
Annual Maintenance Fee (Non IRA Accounts) |
$75 |
|
Firm Commission (Per Transaction)* |
$49.95 |
|
Stops on Certificates |
$35 |
|
Fed Wire Transfers |
|
|
Outgoing |
|
|
Domestic |
$20 |
|
International |
$25 |
|
Stop Payments on checks (issued
by Wedbush Morgan only): |
|
|
Checks issued on "as requested" basis |
$25 (1) |
|
Dividend checks |
$25 (2) |
|
Dividend checks returned by Post Office |
$25 (3) |
|
INTEREST
RANGES
|
WEDBUSH
RATE PLUS |
|
1.0-
499,999.99 |
+ 3.000 |
|
500,000.0-999,999.00 |
+ 1.850 |
|
1000,000.00 |
+ 1.500 |
The above
fees for services provided by the clearing firm may be
charged to your account at the time of/or prior to the
service being rendered. A&F and/or A&F's Representative(s)
may receive a portion of the fees charged by the clearing
firm (including, but not limited to, margin interest & Firm
Commission). These fees and charges may be passed on to you
to include the costs associated with the processing of
transactions and may be a source of additional compensation
to the firm and/or registered representative.
*A&F
Financial Securities charges a $49.95 Firm Commission on all
transactions in addition to any applicable fees, charges,
taxes, commissions, markups/markdowns charged to your
account. A portion of this commission is remitted to A&F’s
clearing firm and the remainder is retained by A&F as
transaction based remuneration and may be a profit to the
firm, as well as additional compensation to the firm and/or
registered representatives. The firm commission is used for
the following expenses but not limited to: clearing firm
expenses (see above), online access, clearing firm account,
fidelity bond, insurances, support staff salaries, rent,
office supplies, IT support and equipment, state
registrations, legal, FinOP & accounting, consultants,
telephone, overnight and regular mail, training,
subscriptions & publications, FINRA fees, general office
expenses, NASDAQ fees, AML charges, exchange fees, in
addition to other various vendors and/or expenses not
previously mentioned. Please contact your account executive
if you have any questions or need additional information.
|
