Joseph Stone Capital, LLC

Headquarters:
Mineola, NY 11501
866-866-1433


Hauppauge, NY 11788
631-234-8800


Aventura, FL 33160
305-509-6700


Wall Street, NY
888-425-7593


Holbrook, NY


Huntington, NY

 
 
   



Fee Disclosure


Fee Schedule as of January 2013 – All fees are subject to change at any time as per JSC’s discretion.

Securities Processing Charges
JSC's Fee
ACAT - Non-ACAT Transfer $100 Per Account
Checks
Stop Payments $50 Per Check
Returned Checks $40 Per Check
Photocopies of Checks $10 Per Check
Check Writing Stop Payments $30 Per Stop Payment
Prepayments $35 Plus Interest
Returned ACH Items $35
Individual Retirement Accounts (IRA)
IRA Annual Custodial Fee $50 Per Plan
IRA Transfers (including transfer of Roth to Traditional IRA) $60 Per Transfer
IRA Asset Review $250 Per Review
IRA Limited Partnerships $40 Per Position
IRA Termination Fee $60 Per Plan
Alternative Investments
Private Asset Review $250
Initial Deposit $15 Per Position / Per Customer
Annual Pricing $25 Per Position Per Year
Safekeeping / Reconciliation $50 Per Year (Chg Quarterly)
Re-Registration $50
Additional Fixed Commission
Additional Fixed Commission (charged to customer) $75
Transfer on Death Registration (per account)
Application Fee $60
Change / Revocation $60
Distribution of Assets from COR $250
Restricted Stock
Clearance or Transfer of Restricted Stock $60 Plus Out of Pocket Costs
Physical Security Processing
Physical Certificate Request (Penny Stock) DTC $750 Per Certificate
Physical Certificate Request (Other) DTC $750 Per Certificate
Rush Withdrawal DTC $150 Additional
Low Priced security deposit and review (non-listed, non-NMS) $1000 Per Item Plus Costs
Penny Stock Re-registration with Agent (Domestic) $250 Per Certificate
Penny Stock Re-registration with Agent (Canadian) $750 Per Certificate
Physical Settlements $100 Plus Costs
Rejected Deposits DTC or Agent $185 Per Certificate
Free Deliveries DTC $20 Per Security
NY Window / Physical Delivery $20 Per Security
Wire Transfers
Domestic $40
*International $50
Overnight Delivery
*Domestic $40
*International $50
*New Zealand and Australia $50
Tender / Exchange Offer / Bond Puts $25
Bond Redemption / Conversion (Physical Only) $50
Reg-T Extension $25
Foreign Securities
Transfer In and Out / Physical Certificate $150
Physical Certificate Request $500 Plus Costs
Foreign Non-Euroclear $75
Foreign Safekeeping As Incurred by COR
DWAC Charge $75
Reject Charges At Cost
Syndicate / IPO Charges $250 Plus Incurred Charges
Worthless Securities Processing Charge $10
Vault Services (Per Certificate) $50 Per Year

Commissions - All commissions are charged on a negotiated basis between the registered representative and the client and adhere to the regulatory guidelines.

The above fees for services provided by COR Clearing, the clearing firm, or Joseph St one Capital, LLC may be charged to your account at the time of/or prior to the service being rendered. Joseph Stone Capital, LLC and/or Joseph Stone Capital’s representative(s) may receive a portion of the fees charged by the clearing firm (including, but not limited to, margin interest and handling fees). These fees and charges may be passed onto you to include the costs associated with the processing of transactions and may be a source of additional compensation to the firm and/or registered representative.

Joseph Stone Capital, LLC charges a $75 additional fixed commission on all transactions in addition to any applicable fees, charges, taxes, commissions, markups/markdowns charged to your account. A small portion of this fee is remitted to Joseph Stone Capital’s clearing firm and the remainder is retained by Joseph Stone Capital as transaction based remuneration and may be a profit to the firm, as well as additional compensation to the firm and/or registered representatives. The brokerage commission is used for the following expenses but not limited to: clearing firm expenses (see above), online access, clearing firm account, fidelity bond, insurances, support staff salaries, rent, office supplies, IT support and equipment, state registrations, legal, FinOP & accounting, consultants, telephone, overnight and regular mail, training, subscriptions & publications, FINRA fees, general office expenses, NASDAQ fees, AML charges, exchange fees, in addition to other various vendors and/or expenses not previously mentioned. Please contact your account representative if you have any questions or need additional information.