CUSTOMER FEE SCHEDULE - CFS Disclosure

CUSTOMER FEE SCHEDULE

PERSHING ACCOUNT FEES (FULL SERVICE)

TRADE RELATED FEES

Cash Due & Margin Interest Charges Confirmation Processing (No Charge for e-Delivery)

Per paper mailing on Individual, Joint, TOD & Pershing Retirement Accounts

Employee Stock Option Exercise (plus margin interest as incurred) Margin Trade Extensions/No Load Transaction Fee (non-advisory) No Load Short Term Redemption (Pershing NTF Funds Only) REIT/BDC Transaction Processing

as applicable $ 5

$75 $25 $50 $50

MONEY MOVEMENT TRANSFER COSTS

Overnight Check (Standard Delivery) Returned Checks/Stop Pay/ACH Rejects/Wired Funds

Outgoing Account Transfers to Another Firm Restricted Securities Processing Stop and/or Replace Certificate Legal Transfer Direct Registration (DRS)-Outgoing/Incoming

$12 $25

$125 $75

as incurred $60

$25/as incurred

ACCOUNT MAINTENANCE

Annual Custody Fee (Inactive Account Fee) Annual Custody Fee (Inactive Account Fee) -Mutual Fund Only Paper Statement Surcharge (No charge for e-Delivery)

Per paper statement mailing on Individual, Joint, TOD & Pershing Retirement Accounts

$50 $25 $ .75

RETIREMENT FEES OTHER

Retirement Account (IRA/SEP) Maintenance Retirement Account (SARSEP, Simple, QRP) Retirement Account Termination Limited Partnership/REIT/BDC Annual Custody Fee:

SEC Registered ? Per Position Unregistered ? Per Position

$43.50/annual $58.50/annual

$125

$35/annual $125/annual

Other standard fees may apply related to fixed income, physical certificate deposits, precious metals, foreign securities, asset management, check-writing, safekeeping, reorganizations /tenders, partnerships or other services. Client generated trade errors will be charged against the account and positions may be liquidated to cover debits. Fees and service costs are subject to change without prior notifications.

FUNDVISION FEES (MUTUAL FUND PLATFORM)

Returned Checks/Stop Pay/ACH Rejects

MONEY MOVEMENT Overnight Check (Standard Delivery)

Wired Funds

RETIREMENT FEES

Retirement Account Maintenance

$35 $15 $25

$25/annual

Rev. 1-01-2020

Other standard fees may apply. Fee and services costs are subject to change without prior notification. CUSO Financial Services, L.P. & Sorrento Pacific Financial, LLC - Confidential and Proprietary

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