© 2017 Moloney Securities

Investment Advisory Services offered through Moloney Securities Asset Management, LLC a Registered Investment Advisor

Registered Broker-Dealer

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PAYOUTS

EXPENSES & FEES

Our payout schedule may seem simple – and it is:

  • 90% PAYOUT for the first $500,000 Gross

  • 95% PAYOUT for everything above $500,000 Gross*​​

 

*resets every Jan 1st

 

You get your percentage payout on every single dollar you earn – no matter what the product or service is. There are no monthly hurdles to clear.

  • Stocks: $16 per trade

  • Bonds: $16 per trade

  • UITs: $16 per trade

  • Options < $1.00 strike price: $16 per trade plus $0.75 per contract

  • Options > $1.00 strike price: $16 per trade plus $1.00 per contract

  • Mutual Funds on RBC’s “No Transaction Fee” List: $0.00 per trade

  • Mutual Funds NOT on RBC’s “No Transaction Fee” List: $16.00 per trade

  • Mutual Fund Exchanges: $0.00 per trade

  • Mutual Fund Systematic Buys & Sells (pips & swps): $0.00 per trade

Moloney Affiliation Fee: $350 (monthly)

  • Errors & Omissions Insurance Policy

  • Fidelity Bonding

  • Firm Element Continuing Education

  • Email Archival and Surveillance

  • Compliance Audits and Office Visits

Registration Fees:

  • Moloney Securities covers all registration fees in your first year

  • Starting in year two, this expense is passed on to the rep exactly as charged by each state (typically $50 - $75 per state)

CRD Continuing Education (regulatory element):

  • Typically $55 per session (actual fee charged by FINRA)

Payout Schedule

Advisor Transaction Fees

Other Independent Contractor Expenses