| Fee Type |
|
| ACAT -Non-ACAT Transfer |
$85 |
| Checks |
|
| Stop Payments |
$35 |
| Returned Checks |
$35 |
| Photocopies of Checks |
$7.50 |
| Check Writing Stop Pays |
$35 |
| Prepayments |
$25 plus interest |
| Returned ACH Items |
$25 |
| Individual Retirement Accounts (IRA) |
|
|
IRA Annual Custodial Fee (waived for the first year)
(Annual fee will be waived if account value is $75,000 or more)
|
$35 |
IRA Transfers (Including transfer of Roth to Traditional
IRA) |
$30 |
| IRA Limited Partnerships |
$45 |
| IRA Termination Fee |
$75 |
| Limited Partnership Charges |
|
| Limited Partnership/Private Asset Review |
$200 Deposit |
| Set-Up & Pricing |
$200 (one time fee) |
| Re-registration |
$50 |
| Transfer on Death Registration (per account) |
|
| Application Fee |
$60 |
| Change/Revocation |
$60 |
| Distribution of Assets from Legent |
$220 |
| Replacement of Lost Certificates |
|
| Replacement of Lost Certificates not in Legent's Possession |
$55 |
| Stops on Certificates |
$55 |
| Restricted Stock |
|
| Restricted Stock Clearance or Transfer of Restricted Stock |
$35 |
- plus out of pocket cost Rush
|
$50 |
| Physical Security Processing |
|
|
Physical Security Processing Physical Certificate Request DTC or Non-DTC
|
$45 |
| Physical Certificate Request RUSH |
$70 |
| Free Deliveries DTC |
$25 |
| Transfer Agent Charges As incurred by Legent Cashless Stock Options |
$25 |
- plus incurred charges Coupon Processing
|
$30 |
| Bearer Bond Withdrawals |
$25 |
| Wire Fees |
|
| Domestic |
$25 |
| International |
$30 |
| Paper Charges |
|
| Paper Statements |
$3.75 |
| Paper Confirmations |
$1.75 |
|
Overnight Delivery
|
|
| *International |
$35 |
| *New Zealand and Australia |
$50 |
| Tender/Exchange Offer (Voluntaries Only) |
$25 |
| Bond Redemption/Conversion |
$25 |
| Reg-T Extension |
$21 |
| Foreign Securities |
|
| Transfers in and Out |
$85 plus out of pocket cost |
| Physical Certificate Request |
$260 plus out of pocket
cost |
| Foreign Non-Euroclear |
$75 |
| DWAC Charge |
|
| Reject Charge |
at cost |
| Syndicate/IPO Charge |
$100 + cost |
| Treasury Direct Auction Trades |
$20 per execution |
| Re-Delivery Charge for DK or Partial Deliveries |
$8.50 |
| OREX Trade entry (Legent Staff) |
$7 |
| Cancel & Rebill (Legent Staff) |
$5 |
| Vault Services (per certificate) |
$20 per year |
| Guaranteed Monthly Statements |
$25 per year |
| Printed Broker Copies of Client Statements |
$3.75 each statement |
| Printed Broker Copies of Client Confirms |
$1.75 each confirm |
| Exempt Client Special Requested 1099 |
$15 each 1099 issued |
| AML account Processing |
$3 |
| Cost to Carry on fails to deliver |
Broker call |
* Statements and Confirms are delivered electronically free of charge.