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Unionbanc Investment Services Commission & Fee Schedule

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Unionbanc Investment Services Commission & Fee Schedule EFFECTIVE JANUARY 1, 2019 UnionBanc Investment Services Commission & Fee Schedule, Disclosures, and Services Agreements LIST OF DOCUMENTS A. UnionBanc Investment Services® Commission & Fee Schedule B. Investment Services Agreement C. Portfolio Connection Accounts & Services Disclosure and Supplemental Agreement D. UnionBanc Investment Services Bank Deposit Sweep Program (BDSPSM) Disclosure Document E. UnionBanc Investment Services Business Continuity Plan Disclosure F. Brokerage or Advisory Account: Which is the best fit for you? If you have an investment advisory account with us, please refer to the Managed Account Solutions and/or Personal Portfolio Solutions Terms and Conditions, the Statement of Investment Selection, and the Form ADVs you received from your financial advisor for information regarding your account rather than the Investment Services Agreement, Portfolio Connection Accounts and Services Disclosure, and the UnionBanc Investment Services BDSP Disclosure Document which apply to brokerage accounts. EFFECTIVE JANUARY 1, 2019 A. UnionBanc Investment Services Commission & Fee Schedule TABLE OF CONTENTS INVESTMENT SERVICES ................................................................................................................................................1 Equities ............................................................................................................................................................................................1 Options .............................................................................................................................................................................................1 Mutual Funds ................................................................................................................................................................................1 No-Load Mutual Funds............................................................................................................................................................1 Margin Borrowing ......................................................................................................................................................................1 Fixed Income ................................................................................................................................................................................1 Additional Items .........................................................................................................................................................................2 Important Information on Online Trading ..................................................................................................................2 PORTFOLIO CONNECTION BROKERAGE ACCOUNT ...........................................................................2 Annual Fee.....................................................................................................................................................................................2 Monthly Minimum Balance Fee ........................................................................................................................................2 Indirect Compensation .........................................................................................................................................................3 INDIVIDUAL RETIREMENT ACCOUNTS AND SMALL BUSINESS RETIREMENT PLANS .....................................................................................................................................................3 Annual Custodial/Trustee Fee .........................................................................................................................................3 Fee Waiver Eligibility Chart..................................................................................................................................................3 IMPORTANT NOTICE ........................................................................................................................................................3 Portfolio Connection and other investments available through UnionBanc Investment Services LLC, a registered broker-dealer, investment advisor, member FINRA/SIPC, and subsidiary of MUFG Union Bank, N.A.: • Are NOT deposits or other obligations of, or guaranteed by, the Bank or any Bank affiliate • Are NOT insured by the FDIC or by any other federal government agency • Are subject to investment risks, including possible loss of the principal amount invested A. UNIONBANC INVESTMENT SERVICES COMMISSION & FEE SCHEDULE UnionBanc Investment Services® LLC (“UBIS”), is a registered broker-dealer, investment adviser, member Minimum charge: $3 per contract. (All option transactions are subject to an overriding minimum FINRA/SIPC, and subsidiary of MUFG Union Bank, N.A. (“Union Bank®” or “Bank”). UBIS offers a wide range commission of $45 per trade.) of investment products and financial services from one convenient, reliable source. This UnionBanc Maximum charge: $30 per contract. Investment Services Commission & Fee Schedule describes fees, charges, and account minimums that apply to your brokerage account(s) with UBIS, and to products and services that are related to your Online Trading brokerage account(s). Charges that apply to banking products and products offered outside of UBIS are $19.95 per trade plus $1.50 per contract. disclosed in the schedules and agreements that apply to those products and services. Please see the Important Information on Online Trading section for additional information. INVESTMENT SERVICES Mutual Funds Activity Assessment Fee – A minimal Activity Assessment Fee is charged on most equity and option sales. The Securities and Exchange Commission (SEC) imposes this fee on the securities Minimum investment for retirement accounts ........................................................$ 1,000.00 exchanges, and brokers typically pass the fee on to customers. The fee is disclosed on the Minimum investment for all other accounts ..............................................................$ 2,000.00 confirmation of your trade under “Activity Assessment Fee.” It is in addition to other fees described in this Fee Schedule. The SEC changes the fee from time to time; you can contact UBIS to inquire about No-Load Mutual Funds the amount of the fee. Broker-Assisted Trading .........................................................................per transaction $ 50.00 Broker-Assisted Trading – Provided through Financial Advisors or Client Services, 1-800-634-1100. Online Trading ...............................................................................................per transaction $ 19.95 Online Trading – Online trading provided through login at unionbank.com/invest, Please see the Fidelity Money Market Funds are exempt from these fees. The fees shown are in addition to those Important Information on Online Trading section for further details. charged by the fund companies. Some funds can be obtained directly from the fund company without our service charge. Please note: These rates and fees are subject to change. Investments in money market funds are not insured or guaranteed by the FDIC or any other government Equities agency. Although money market funds seek to preserve the value of your investment at $1 per share, it is possible to lose money by investing in money market funds. Broker-Assisted Trading Dollar Amount Commission Rate Mutual fund investing involves risk, including possible loss of principal. You should carefully consider a fund’s investment objectives, risks, and charges and expenses carefully prior to investing. This information $0–2,500 ..................................................................................................... $ 29 + 1.7% of dollar amount can be found in the prospectus along with other important information. For Fidelity Funds, a prospectus may be obtained by contacting Fidelity directly at [email protected] or 1-800-840-6333; for all $2,501–6,000 ............................................................................................$ 55 + 0.66% of dollar amount other Mutual Funds, a prospectus may be obtained by calling UBIS Client Services at 1-800-634-1100. $6,001–22,000 .........................................................................................$ 75 + 0.34% of dollar amount Please read the prospectus carefully before investing. $22,001–50,000 ....................................................................................$ 99 + 0.22% of dollar amount $50,001–500,000 .................................................................................$154 + 0.11% of dollar amount Margin Borrowing $500,001 + ....................................................................................................$254 + 0.09% of dollar amount Current rates are as follows: The annual rate of interest you will be charged may vary from a minimum of 1.75% to a maximum of Minimum charge: $0.04 per share or $45 (whichever is greater). 2.25% above the brokers’ call money rate, depending upon the amount of your average debit balance. Maximum charge: $0.55 per share. Average Debit Balance Interest to Be Charged Above Online Trading (“Electronic”) Brokers’ Call Money Rate (Listed/Over the Counter) $0–99,999 ..................................................................................................................................................................2.25%
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