| Online Trades |
1-3,000 shares |
$9.00 |
| 3,001+ |
$9.00 plus $.02 per share over 3,000 shares |
|
| Broker-Assisted Trades |
|
$24.95 plus $0.03 per share |
|
| Options Trades |
Online Trades |
$30.00 plus $1.75 per contract |
| Broker-Assisted Trades |
$40.00 plus $1.75 per contract |
|
Penny Stocks
(less than
$1.00/share) |
Online Trades |
3% of the total trade value, with an overriding minimum of $19.95 per trade |
| Broker-Assisted Trades |
$24.95 plus 3% of the total trade value |
|
| Mutual Funds |
No Load** |
$50.00 per transaction |
| No Load without transaction fee** |
n/a |
| Load Fund |
No transaction fee, load applies |
| **No Load funds must be held for 90 days or a 1% fee will apply. |
|
| Individual Retirement Accounts |
IRA Custodial Fee |
$35.00 per year |
| IRA Closing Fee |
$75.00 |
|
| Margin Interest Rates |
Net Debit Balance |
Surcharge Over Broker’s Call Rate |
| $0 to $24,999 |
3.75% |
| $25,000 to $49,999 |
3.50% |
| $50,000 to $99,999 |
3.00% |
| $100,000 to $249,999 |
2.75% |
| $250,000 to $999,999 |
2.50% |
| $1,000,000 and over |
1.00% |
| Note: If a deficit occurs in a cash account, WRH+Co will charge interest based on the criteria set forth until funds have been received. |
|
Corporate and
U.S. Government Bonds(Broker-Assisted) |
To invest in fixed income securities, call (610) 725-1150 or toll-free (800) 673-6476. |
| Less than 25 bonds |
$25.00 flat fee + $2.00 per bond |
| 25 bonds or greater |
$25.00 flat fee + $1.75 per bond |
|
| Restricted Stock |
Processing fee |
$100.00 per security |
|
| Miscellaneous Fees |
Late Payment |
$15.00 |
| Returned Check |
$25.00 |
| Duplicate Statements and Confirms |
$10.00 |
| Transfer of Securities into name other than name on Account (per issue) |
$60.00 |
| DTC Transfer of Securities (per occurrence) |
$60.00 |
| Account Transfer – Out |
$75.00 |
| Transfer and Shipping of a Physical Certificate |
$60.00 |
| Overnight Check Fee |
$15.00 |
| Wire Transfer | $15.00 |
| Foreign and Physical Securities |
$2.00 per position per month |
| Foreign Securities Processing Fee |
$75.00 per item |
| Annual Safekeeping |
No fee with one transaction per year; otherwise, $25.00 per year. |
|
| * | Fees, commissions, and charges may be changed at any time upon notice to you. Commissions and Fees for trades conducted through our full service brokers may be different than those listed above. Please consult your Account Representative for further details. Corporate stock plan trades are not subject to this fee schedule, please consult your stockplan administrator for details. |
|
| Note: In certain transactions of securities in which WR Hambrecht + Co makes a market, a mark-up or mark-down may be charged. |
