Terms of Use
Fee Schedule as of November 2022 – 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) | $99 |
| Annual Fee | $99 |
| Transfer on Death Registration (per account) | |
| Application Fee | $60 |
| Change / Revocation | $60 |
| Distribution of Assets from Axos | $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 | $99 |
| Foreign Safekeeping | As Incurred by Axos |
| DWAC Charge | $99 |
| 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 Axos 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 $99 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.
