FINRA Broker-Dealer Assessment Technology Fees …

1 OTHER FEESJANFEBMARAPRMAYJUNJULAUGSEPOCTNOVDEC TOTALADVISOR FEESJANFEBMARAPRMAYJUNJULAUGSEPOCTNOVDEC TOTALANNUALQUARTERLYFINRA Rep (Personnel) Fee$130 FINRA Branch Fee (fee paid by person in charge of branch)$170 FINRA Renewal Fee (also applies to Registered Assistants)$45 FINRA IA Processing Fee$10$___State Registration Fees (varies by state; also applies to RAs) FINRA Broker-Dealer Assessment ($250 + 5 bps of GDC)$ +bps2018 GDC x = $_____/4$___SIPC Broker-Dealer Assessment ($250 + 5 bps of GDC)$ +bps2018 GDC x = $_____/4$___$___$ +bps$___$___$ +bps$___$___$ +bps$___$130$170$45$10$___$___$___$ +bps$ +bps$ +bpsFidelity Bond and E&O Insurance(Corporate RIA)Fidelity Bond and E&O Insurance(Independent/Dual RIA)MONTHLYA ffiliation and Technology Fees$180$ $ $2,160$3,170$3,585$180$ $ $180$ $ $180$ $ $180$ $ $180$ $ $180$ $ $180$ $ $180$ $ $180$ $ $180$ $ $180$ $ Assistant (fee paid by person in charge of branch)$60 Non-Registered Assistant (fee paid by person in charge of branch)$300$60$60$60$60$60$60$60$60$60$6 0$60$720$3002019 ADVISOR FEE SCHEDULE.

2 $250 +bps(max $500)$250 +bps(max $500)FINANCIAL ADVISOR USE ONLY. Securities and investment advisory services are offered through Advisor Group, Inc. subsidiary, SagePoint Financial, Broker-Dealer , registered investment advisor and member of FINRA and SIPC. Advisor Group is a holding E. Thomas Road, Suite 2000 Phoenix, AZ 85012 SagePoint Financial, Inc. 19-0602 05/19 14763382$140$20$20$20$20$20$20$20 CyberGuard cyber risk insurance policy