Account Fees

Please review account fees thoroughly.
If you have any questions, please contact us.
TypeCost
Checks
Stop Payment30
Returned Check40
Photocopy of Check17
Returned ACH Item40
Pre-payment (before settlement)$50 + interest
Forced Margin Sellout$30 + Regular Commission
ACAT Outgoing – Non-ACAT Transfer75
Wire Transfers - AXOS
Wire – Domestic30
Wire – International75
Wire – Pre-payment (before settlement)$50 + interest
Overnight Delivery
Overnight – Domestic40
Overnight – International60
New Zealand and Australia65
Postage and Handling
Postage and Handling3.5
Return Mail Postage and Handling Fee – Bad Address (Per Item)10
Paper (Retail)
Confirmation *4
Statement *10
Transfer on Death Registration (per account)
Application Fee75
Change / Revocation75
Distribution of Assets from COR300
Restricted Stock
Clearance or Transfer of Restricted Stock200
Physical Security Processing
Transfer In and Out / Physical Certificate200
Physical Certificate Request600
Physical Certifcate Request (Other) DTC850
Rush Withdrawal DTC250
Physical Settlements200
Rejected Deposits DTC or Agent200
Free Deliveries DTC30
NY Window / Physical Delivery30
DWAC Transfer125
Foreign Non-Euroclear100
Worthless Securities20
Miscellaneous Fees
Warrants$25 Per Trade
Tender Offer Exchange25
Option exercise or assignment30
Rep Assisted Trade30
Mandatory Reorg Corporate Actions25
Sub-Penny Position (per share per month).0000006
Inactivity Fee$30 per quarter*

*If less than 15 trades per calendar quarter are executed.

TypeCost
Wire – Domestic30
Wire – International75
Inactivity Fee$30 per quarter*
Forced Margin Sellout$30 + Regular Commission
Short Locate Borrow FeeCost plus 20% Markup

* If client trades less than 50,000 shares in listed or NMS securities in a quarter

Margin Fees
Trading on margin gives you extra buying power to get into the positions you want. If you need leverage, we can offer discounts on margin interest rates based on your margin debit balance.

Please contact us for the most current rates.

Certificate and DWAC deposits and transfers may incur substantially higher fees based on various factors that are not listed on this page.

A $4 per confirmation and $10 per statement fee is charged for physically mailed documents. To avoid these fees, traders can elect to receive their trading confirmations and statements electronically.

The fee information listed here is for informational purposes only. These fees are subject to change at any time and those changes may not be accurately reflected on this page. This is only a partial list of additional fees. View our other “fees” pages for additional information.