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Transaction fee schedule

Voya Financial Advisors believes that it is appropriate to set out trading fees that may impact your account. These fees, which are subject to change, are outlined below:

Equity Orders
Online Market Orders $14.95 + .01 per share over 1000 shares
Online Limit Orders $19.95 + .01 per share over 1000 shares
Broker Assisted Orders $44.95 + .01 per share over 1000 shares
 
Mutual Funds
FundVest - No Transaction
Fee Program
Online
Broker Assisted
$0
$0
No-load Online
Broker Assisted
$44.95
$44.95
Load Online
Broker Assisted
Load Charge*
Load Charge*
Fixed Income
Broker assisted $40.00 + $1.00 per bond
* Please refer to the fund prospectus for information on front-end and back-end load charges.
1 For additional information on any fund available through the FundVest programs, including charges and expenses, please consult the respective fund’s prospectus. Positions acquired without a transaction fee must be held for a four-month period to be eligible for a no-fee redemption. Any redemption made prior to the position’s four-month anniversary, in any program, will incur a short-term redemption fee.
In order for a purchase to be eligible for any of the FundVest programs, it must meet established purchase minimums. Positions acquired, including additional purchases that do not meet the fund minimum may incur a small balance fee. Please contact your financial organization if you are not familiar with your firm’s program parameters.
Pershing LLC reserves the right to discontinue the FundVest programs and/or the IRA fee waiver program at any time, at its sole discretion. In addition, Pershing LLC reserves the right to change the funds available at any time.
Pershing LLC is not affiliated with the Voya family of companies.

 

Brokerage-Related Client Fees

The following transaction fees may affect your account(s), but are not generally itemized on your confirmations or statements:

Transaction Transaction - Additional Information Fee
Custodial Account Fees Mutual Fund only
Full Service Brokerage - IRA’s
$10
$35
Dividend Reinvestment of Equities Minimum for reinvestment is a $4 dividend $0
Foreign Security Receive and deliver fee
Holding fee
$75 per transaction
$5 per security per quarter
Inactive Account Fee1 - (non IRA) General securities
Mutual funds only
$50 annually
$20 annually
Inactive Account Fee1 - IRA   $0
Legal Transfers Legal transfers are securities where proof of signature is attached such as corporate resolutions, power of attorney, death, etc. $60 per security
Maintenance/Other Fees Annual maintenance fee – qualified retirement plans
Roth conversion
Limited partnership (including direct participation programs and real estate investment trusts)
Annual administration fee
Paper surcharge - only if electronic delivery is not elected
$50 set-up/$50 annually

$25 per conversion
$50 per item


$35 annually per partnership
$1 per confirmation/statement
Overnight Fees Including Saturday delivery $18 per item
Register and Ship Security   $20 per item
Reorganizations Mandatory tender items
Voluntary tender offers
$5 per item
$20 per offer
Returned Checks   $20 per check
$20 per offer
Safekeeping Fees Fixed income positions
Equities, mutual funds, UITs and other
$2 per security per month
$2 per security per month
Termination/Transfer Out Fee Retirement accounts –
termination fee
Retail brokerage accounts – transfer out fee
$95

$110
Transfer Fees DRS Transfer Fees (This includes but is not limited to Transfers from Computershare, Wells Fargo and Registrar and Transfer Co, additional Transfer Agents may be added at any time) $10-$25
UITs Unit investment trusts $20 per item
U.S. Treasury Security Redemptions
Physical redemptions
$5 per item
$20 per item
Wired Funds   $5 per wire
Inactive accounts are defined as accounts with no trading activity (dividends and interest are not included as activity). The inactive period runs from January 1 to December 31.
An account is not considered inactive if it is a: • Pershing custodial accounts such as IRAs, SEPs and qualified retirement plans • ProCash Plus accounts