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Effective April 1, 2014
$125 per issue for electronic transfer of shares back to transfer agent.
Transfer & Ship Non-DRS Eligible
$250 per issue for physical stock delivery.
There is a $15 charge to initiate a wire from a UMB Financial Services, Inc. account.
Self-Directed IRA fees are charged by Fidelity Management Trust Company of Boston, Mass.
UMB Financial Services accounts that have no activity during a calendar year will be subject to a $50 fee. Accounts are reviewed on an annual basis.
There are several ways to prevent this charge, including:
Accounts exempt from $50 annual fee:
There is a $20 charge for each request made to place a stop payment on a UMB Asset Management check.
There is a $15 charge for each copy requested.
There is a $40 charge for each check that is 1) insufficient due to a lack of funds in your brokerage account, or 2) returned checks that were deposited to your brokerage account.
There is a $30 per trade extension fee if cash or securities to settle a trade are not available in the account by the second day after settlement date of the trade.
There is a $100 charge per account when a request is received to transfer all assets held in a UMB Financial Services account to another brokerage firm.
There is a $125 per issue charge if the security being deposited has legal papers attached.
$100 for stocks NIGO that must be returned to customer.
There is a $50 per issue charge for stock received as a physical deposit that must complete reorganization in order to be held in "street name" in a brokerage account.
There is a $35 per hour charge for all in-depth research that is requested by the customer.
There is a $500 charge for Restricted Stock that falls under Rule 144, Rule 144K, Rule 145, 701C3, and S3. The $500 fee covers the legal opinion issued by the attorneys and filing fees and legal fees.
There is a $75 per issue charge for re-registration of stock that is not being deposited into a UMB Financial Services account.
Copyright 2014, UMB Financial Corporation
“UMB” – Reg. U.S. Pat.& Tm. Off.
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