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.

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

Vanderbilt Financial Group is the marketing name for the Vanderbilt Securities, LCC and it affiliates. Securities offered through Vanderbilt Securities, LLC | Advisory Services offered through Vanderbilt Advisory Services, LLC. Member: FINRA, SIPC | Registered with MSRB | Clearing Agent: National Financial Services, LLC

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