Below is a list of fees that may be charged to your account(s) with Riedl First Securities that are custodied at RBC Correspondent Services, a division of RBC Capital Markets, LLC (RBC CS). The list of fees does not include customer handling, commissions or any other trade related fee as those fees are disclosed on each trade confirmation. With the exception of fees that are “pass through”, “at cost”, “prorated”, “interest charged”, or that provide a range as a guideline, the fee listed is the highest amount that will be charged for the service provided. Fees may change at any time as permitted by applicable regulations and the terms of the clearing agreement between Riedl First Securities and RBC CS.
|Fee Name||Total Fee Amount|
|Alternative Investment– Transaction fee||$150.00|
|Alternative Investments– Maintenance fee||$100.00|
|American Depository Receipt (ADR) Pass Through Fee||Pass through (1)|
|Annual Account Fee||$50.00|
|Automated Clearing House (ACH) Stop Payment Fee||$20.00|
|Bank Wire – Domestic||$10.00|
|Bank Wire – Foreign||$75.00|
|Cashless Stock Option Exercise||Please refer to the Employee Stock Option Exercise Form|
|Direct Registration System (DRS) Transfer Fee (Incoming)||$25.00|
|Direct Registration System (DRS) Transfer Fee (Outgoing)||$25.00|
|Dividends & Reorgs – Coupons Received for Collection (per shell or issue)||$10.00|
|Dividends & Reorgs – Charge for Late Instructions on Expiring Items||$15.00|
|Duplicate Tax Documents (Paper copies)||$1.25*|
|Duplicate Confirm (Paper copies)||$1.25*|
|Duplicate Statement (Paper copies)||$1.25*|
|Deposit / Withdrawal at Custodian (DWAC) Fee||Ranges from $25.00 to $150.00 (2)|
|Globe Tax Basic Services||3% of recovered withheld tax; maximum of $200 per occurrence (3)|
|Investment Access Account Related Fees||Please refer to the Investment Access Account Agreement (4)|
|Investment Access Annual Account Fee||$125.00 (5)|
|Legal Deposit / Transfer||$60.00*|
|Non‐Sufficient Funds (NSF) Fee||$30.00|
|Non‐Transferable Security Custody||$2.00 per position, per month|
|Outgoing IRA ACAT Fee||$120.00|
|Outgoing Non‐IRA ACAT Fee||$35.00|
|Partial Transfer||$25.00 per transfer|
|Physical Certificate Reject Fee||$200.00|
|Physical Certificate (Non‐DRS Eligible and DRS Eligible Securities)||$650.00|
|Prepayment Fee||Interest Charged (6)|
|Retirement – Custodial Qualified retirement closing fee||$50.00 + Prorated Annual Fee|
|Retirement – Custodial Qualified retirement plan annual fee||$75.00 per employee account + $5.00 per additional participant|
|Retirement – Custodial Qualified retirement plan set up fee||$25.00 per employee account + $5.00 per additional participant|
|Retirement – IRA Annual Account Fee||$35.00|
|Retirement – IRA Account Closing Fee||$120.00|
|Retirement – Self‐trusteed plan annual fee (one plan / paired plan)||$150.00 / $250.00|
|Retirement – Self‐trusteed plan closing fee (one plan & paired plan)||Prorated Annual Fee|
|Retirement – Self‐trusteed plan set up fee (one plan / paired plan)||$200.00 / $300.00|
|Rule 144 / Restricted Stock Deposit Fee||$25.00*|
|Security Transfer Fee – International||$140.00|
|Transfer Agent Fees||At Cost|
|Transfer on Death Account Change Fee||$30.00|
|Transfer on Death Account Distribution Fee||0.10%|
|Transfer on Death Account Set‐Up Fee||$50.00*|
|Voluntary Non‐Physical Reorg||$10.00*|
|Voluntary Physical Reorg||$30.00*|
*Riedl First Securities may pay these fees on your behalf.
1) ADR pass through fees are outlined in the ADR prospectus.
2) DWAC is determined by the transfer agent, but typically ranges from $25.00 to $150.00.
3) Clients who hold or purchase Canadian, Irish, or Japanese securities are automatically enrolled in this service. Clients may opt‐out at any time by contacting their Financial Advisor. Global Tax Full Services are also available at an additional
cost. Please contact your Financial Advisor if you would like to opt‐out or sign up for Global Tax Full Services. Fees & jurisdictions covered are subject to change at any time.
4) The Investment Access Account application contains a fee schedule that outlines fees related to an Investment Access Account (checking related fees, wire transfer and ACH fees, and VISA gold check card fees).
5) The annual fee is waived for accounts over $200,000.
6) The calculation to determine the interest is: $25.00 + (Actual Prepay Amount x Interest Rate x (Days to Settlement) / 360 days)). The interest rate is equal to RBC’s Base Lending Rate plus a sliding scale of percentages according to the size of
the actual prepay amount. Please contact your Financial Advisor for RBC’s Base Lending Rate.
RBC Correspondent Services, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC.