| NFS / Montauk Financial Group |
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| FEES |
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| Wire Fee |
$15.00 |
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| Pre-Payment Fee |
$10.00 |
(plus interest) |
Duplicate Statements,
Confirms or Tax Docs |
$10.00 |
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| ACH NSF |
$25.00 |
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| Returned Check |
$25.00 |
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| Stop Payment |
$30.00 |
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| Copy of Canceled Check |
$5.00 |
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| Tax Corrections |
$50.00 |
(for any previous tax year) |
| Annual Custody Fee |
$40.00 |
(The Annual Custody Fee is assessed on each account which holds a
position, and for which there has been no trading activity during the prior
calendar year. Fund PIPs/SWPs, Exchanges, NTFs as well as equity
dividend reinvestments and margin interest are considered trading activity.
Fee will be charged in January following the calendar year of no activity. The parameters
for the annual custody fee are subject to review by NFS.)
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| TRANSFERS |
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| Outgoing ACATs |
$50.00 |
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| Accomodation/TOD |
$25.00 |
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| Foreign Secs Rec/Del |
$100.00 |
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| ESOPs |
$150.00 |
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| DRS-Direct Registration |
$75-$25 |
($75.00 if the client submits directly to the transfer agent,
$25.00 if the transfer agent rejects a DRS request submitted by NFS) |
| Legal Transfers |
$20.00 |
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| Physical Re Org Fee |
$20.00 |
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| Legal Certificate Returns |
$25.00 |
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| RETIREMENT ACCOUNTS |
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| Set-up Fee |
$0.00 |
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| Annual Fee |
$35.00 |
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| Late Fee |
$10.00 |
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| Closing/Termination Fee |
$75.00 |
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| Educational IRA (Trustar) |
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| Set-up Fee |
$25.00 |
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| Annual Fee |
$45.00 |
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| Individual 401(k) (Trustar) |
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| Set-up Fee |
$100.00 |
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| Annual Fee |
$250.00 |
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| ALTERNATIVE INVESTMENTS |
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| Holding Fee |
$35.00 |
(per CUSIP) |
| Initial/additional purchases |
$50.00 |
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| Redemption Fee |
$50.00 |
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| Re-registration Transfer Fee |
$50.00 |
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| Document Review |
$100.00 |
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| CHECKWRITING |
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Brokerage Access
(Checking Only) |
$0.00 |
(No per check minimum. $500 money market balance.) |
Brokerage Access
with Debit Card |
$50.00 |
($1.00 ATM Fee on all ATM withdrawals per month, ATM surcharges and other fees may apply.) |
Brokerage Access
Initial Checks (25 count) |
$0.00 |
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Brokerage Access
Check Re-Order (50 count) |
$5.00 |
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Brokerage Portfolio
(Checking Only) |
$100.00 |
(No per check minimum. $5k minimum in money market and/or marginable securities. 5 free ATM withdrawals per month - ATM surcharges may apply. Other fees may apply.) |
Brokerage Portfolio
with Gold Card |
$100.00 |
(No per check minimum. $5k minimum in money market and/or marginable securities. 5 free ATM withdrawals per month - ATM surcharges may apply. Other fees may apply.) |
Brokerage Portfolio
with Platinum Card |
$150.00 |
(No per check minimum. $5k minimum in money market and/or marginable securities. 5 free ATM withdrawals per month - ATM surcharges may apply. Other fees may apply.) |
Brokerage Portfolio
Initial Checks and Re-Order |
$0.00 |
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