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Brokerage and regulatory fees

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i Additionally any wire transfer, stock processing, DWAC, UPS, or any other additional fees apply

 

ii Represents the fee per cusip per deposit at the time of deposit plus all fees associated with clearing stock from client name to street name. This includes all transfer agent fees and UPS mailing fees to and from the transfer agent and DTCC. If the certificate is rejected for paperwork from the transfer agent or DTCC, the rejection fee will be charged to the client account along with any redeposit fees.

 

ii Additionally any wire transfer, stock processing, DWAC, UPS, or any other additional fees apply

 

iii Represents the fee per certificate withdrawal plus DTCC fees, UPS fees to the customer, and transfer agent fees charged to Wedbush by DTCC.

 

iv Represents the fee per certificate required to satisfy a trade or to re-register from the other B/D to Wedbush name plus all costs from the transfer agent, DTCC NY window processing fee, and UPS to and from the transfer agent for each breakdown. The typical cost for a breakdown of shares can range from $25-$450 + depending on the number of certificates needed to satisfy the trade or the number of certificates received from the other B/D.

 

 

v Charged when a request is made to status a certificate within 10 days from receipt of the completed physical stock certificate. The 10 days starts from the date sent to DTCC or transfer agent.

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Equities, equities options, and commodity futures products and services are offered by Lightspeed Financial Services Group LLC (Member FINRA, NFA and SIPC). Lightspeed Financial Services Group LLC’s SIPC coverage is available only for securities, and for cash held in connection with the purchase or sale of securities, in equities and equities options accounts. You may check the background of Lightspeed Financial Services Group LLC on FINRA’s BrokerCheck.