CLIENT FEES

Service Fees Fees
Equities, Fixed Income & Mutual Funds $7.00 – $22.50 per Transaction
Certificate Processing Fees Fees
Deposited Stock Certificate
Requires Legal Documentation
$95.00
Physical Reorganization $40.00
Legal Return – Due to “Not In Good Order” $60.00
Safekeeping $7.00 per Position – per Month
Transfer & Ship Certification
Non DRS ELIG – Physical Certification
$225.00 per Position
Transfer & Ship or De-Networking $35.00 per Transaction
Alternative Investments Fees Fees
Alternative Investments
Transfers/Re-registration
$50.00 per Transaction
Annual Alternative Investment
Custody & Valuation
Registered $35.00 per Position – Annually
Non-Registered $125.00 per Position – Annually
Money Movement Fees Fees
Bounced Checks $35.00 per Transaction
FED Fund Wire Transfer $15.00
Stop Payment $40.00
Account Maintenance Fees Fees
Annual Custody & Record Keeping/Inactivity $40.00
IRA Annual Maintenance $35.00
IRA – Retirement Account Closing $95.00
Outgoing Transfer $125.00
Check Writing/Debit Card Fees Fees
Broker Portfolio Premier $100.00 Annually
Check Re-Order $5.00
Debt Card $50.00 Annually
Miscellaneous Fees Fees
Mailgram $10.00
Trade Extensions $25.00 per Transaction

Vanderbilt Financial Group is an Independent Broker Dealer doing business differently than anyone else in our field. We are constantly learning and applying new ways of doing thing- whether it’s learning a new program that improves our business, infusing gamefication into our workplace, or becoming a sustainable and green firm, we are passionate about being a modern pioneer and different kind of broker dealer. We are a unified team driven by shared values of; gratitude, respect, innovation, teamwork, and trust. At Vanderbilt we are focused on finding ways of bettering ourselves and those around us while always applying our values to our clients, our community, and our environment.

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Vanderbilt Financial Group is the marketing name for Vanderbilt Securities, LLC and its affiliates.
Securities offered through Vanderbilt Securities, LLC. Member FINRA, SIPC. Registered with MSRB. Clearing agent: Fidelity Clearing & Custody Solutions
Advisory Services offered through Vanderbilt Advisory Services & Consolidated Portfolio Review. Clearing agents: Fidelity Clearing & Custody Solutions, Charles Schwab & TD Ameritrade
Insurance Services offered through Vanderbilt Insurance and other agencies
For additional information on services, disclosures, fees, and conflicts of interest, please visit www.vanderbiltfg.com/disclosures | Privacy Policy | SEC Rule 606 | Public BCP

VFG and its affiliates support and promote Environmental, Social, and Corporate Governance (“ESG”), Socially Responsible Investing (“SRI”), and Impact Investing, but the Firm and its affiliates do not require or mandate that its financial professionals engage solely in related activities. Clients of the Firm and its affiliates are not required to adopt or invest in any specific security, strategy, or portfolio.

Vanderbilt Securities LLC, and Vanderbilt Advisory Services comply with Section 326 of the USA PATRIOT Act. This law mandates that we request certain information about you while processing your account application. This information is used to verify your identity.

Securities products are:
• NOT FDIC INSURED • NOT BANK GUARANTEED • MAY LOSE VALUE

No information on this web site should be considered a recommendation or solicitation to invest in a particular security or type of security.

Neither asset allocation nor diversification can eliminate the risk of fluctuating prices and uncertain returns.

Past performance is not indicative of future results. Please obtain from your Financial Advisor, the prospectus(es) or other offering documents as applicable for the fee-based account program and read carefully before investing.

Vanderbilt Securities LLC is not a tax advisor. We suggest you consult your personal tax advisor and/or legal representative before making tax-related investment decisions.

Copyright 2015 - All Rights Reserved - Vanderbilt Financial Group 125 Froehlich Farm Blvd, Woodbury, NY 11797 | Phone: 631.845.5100