Pricing & Policies
Commissions
ZERO COMMISSION* Account
FULL SERVICE* Account
Stocks & ETFs
$0.00 per online trade
$0.001 per share; $5.00 minimum per online trade
Options
$0.50 per option contract charge
$0.50 per option contract charge; $5.00 minimum per online trade
Fixed Income, Mortgage-backed Securities
Not available
$1.00 per bond; $50.00 minimum per order
Mutual Funds, UITs
Not available
$30.00 per order
Warrants
Not available
$30.00 per order
Rates shown above are for self-directed online trades only. Stock, ETF and Option trades placed through our Trade Desk may incur at $25.00 per trade surcharge.
Rates for trades placed by an independent broker or registered investment advisor may be significantly higher. Please contact your independent financial professional for rate information regarding their services.
Institutions, Active and Professional Traders may qualify for special rates. Call 1-800-494-0451 to learn more.
Exchange Fees: Exchanges charge customers an additional per-contract fee on certain index and ETF option products. TradingBlock will pass through these fees on all orders. Click here for a complete list of symbols and their respective exchange fees.
Regulatory Fees: Equity and ETF trades incur SEC regulatory fees. Option trades incur OCC fees.
*ZERO COMMISSION Accounts are custodied and cleared at RQD* Clearing LLC. FULL SERVICE Accounts are custodied and cleared at Apex Clearing Corporation.
Interest Rates
Below are TradingBlock's current debit and credit interest rates
Balance Range
ZERO COMMISSION* Account
FULL SERVICE* Account
Debit Interest
$0 - $49,999
$50,000 - $99,999
$100,000 - $249,999
$250,000 - $499,999
$500,000 - $999,999
$1,000,000 and over
Broker call + 2.75%
Broker call + 2.00%
Broker call + 1.25%
Broker call + 0.375%
Broker call - 0.25%
Broker call - 0.50%
7.45%
7.45%
7.45%
7.45%
7.45%
7.45%
Credit Interest
$0 - $49,999
$50,000 - $99,999
$100,000 - $249,999
$250,000 - $499,999
$500,000 - $999,999
$1,000,000 and over
0.01%
0.01%
0.01%
0.01%
0.01%
0.01%
0.01%
0.01%
0.01%
0.01%
0.01%
0.01%
Broker call rate: 3.50% (as of June 16, 2022). Subject to change.
Institutions, Active and Professional Traders may qualify for special rates. Call 1-800-494-0451 to learn more.
*ZERO COMMISSION Accounts are custodied and cleared at RQD* Clearing LLC. FULL SERVICE Accounts are custodied and cleared at Apex Clearing Corporation.
Fee Schedule
Cash Transfer Items
ZERO COMMISSION & FULL SERVICE Accounts
ACH Transfer (any)
FREE
Wire Transfer (incoming)
FREE
Wire Transfer - Outgoing (domestic)
$25.00
Wire Transfer - Outgoing (international)
$50.00
Check - Outgoing (domestic)
Full Service Accounts: $5.00 (not available for Zero Commission Accounts)
Check - Outgoing (international)
Full Service Accounts: $10.00 (not available for Zero Commission Accounts)
Stop Payment (issued check)
Full Service Accounts: $30.00 (not available for Zero Commission Accounts)
Returned Check/ACH/Wire
$30.00
Account Transfers (ACATs)
Incoming (ACAT - partial or full)
FREE
Outgoing (ACAT - partial or full)
$75.00
IRA Account Fees
IRA Custodian Fee
$45.00/year
IRA Termination Fee
$75.00
Statements, Confirm and Tax Documents
Electronic Statements, Confirms and Tax Documents
FREE
Paper Statement (per month)
$5.00
Paper Trade Confirmation (per confirm)
$2.00
Paper Tax Document (per statement)
$5.00
Statements - Archived Copies (2 years or older)
$25.00 (1-3 months)
$100.00 (full year)
Overnight Delivery
Domestic
$50.00
International
$100.00
Back Office Fees
Physical Certificate Custody
$300.00 per security
Physical Certificate Issue
$350.00 per issue
Voluntary Corporate Action - Domestic
$50.00
Voluntary Corporate Action - International
$100.00
Reg T Margin Extensions
$20.00
Escheatment/Dormant Account Fee
$75.00
Policies & Disclosures
- Customer Agreement
- Margin Agreement
- Limited Margin Agreement
- Option Agreement
- Clearing Firm Privacy Notice
- Clearing Firm Privacy Policy
- Clearing Firm Responsibilities
- Clearing Firm Special Statement Regarding Uncovered Option Writers
- Clearing Firm Disclosures
- Clearing Firm Customer Brochure
- Clearing Firm Execution Disclosure
- Name, address, contact details
- Your age, occupation and marital status
- Personal Identifier such as, depending on your country of residence, your Social Security Number, Tax File Number
- A head and shoulders photograph from, as applicable, your passport, national identity card or driver's license, as required by laws and regulations addressing due diligence and related matters
- Extensive financial information such as investment experience, assets, account balances and transaction history
When you are no longer our customer, we continue to share information about you as described in this notice. We however do not sell your information at any time.
- Log into your TradingBlock account on the TradingBlock legacy platform.
- Go to Manage | My Profile and click on the Contact Preferences tab.
- Scroll down to the "Communication Preferences" table. Click Edit.
- Under "Subscribed Promotional Emails" click the "Opt out of promotional email" checkbox.
- Click Save Changes button.
You may also use the Form below and submit the request in writing to:
TradingBlock
Attn: Customer Service
Dept.311 South Wacker, Suite 1775
Chicago, IL 60606
Please note:
If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.
____ Do not share information about my creditworthiness with your affiliates for their everyday business purposes.
____ Do not allow your affiliates to use my personal information to market to me.
____ Do not share my personal information with non-affiliates to market their products and services to me.
Name _________________________________
Address _______________________________
City, State, Zip ______________________________
Account # ___________________________
Mail to:
TradingBlock
Attn: Customer Service Dept.
311 South Wacker, Suite 1775
Chicago, IL 60606 USA
- Disclose information on applications and other forms that you submit to us
- We also collect your personal information from others, such as credit bureaus, affiliates, or other companies
- sharing for affiliates' everyday business purposes - information about your creditworthiness
- affiliates from using your information to market to you
- sharing for non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing. (See below for more on your rights under state law.)
TradingBlock Margin Policies
If you have any questions or would like to verify our current margin requirements, please contact our Trade Desk at 1-800-494-0451.
AOS routes non-directed orders in Rule 606 reportable securities to Apex Clearing Corporation (“Apex”), and other brokerage firms for order routing and execution. Apex may not be the ultimate execution venue for such orders, and these orders may be further routed by Apex to other execution venues. Apex may receive remuneration from executing venues through maker-taker pricing or other applicable execution venue fees or rebates. AOS receives some portion of the remuneration for orders routed including any execution venue fees or rebates that may be paid by an executing venue.
AOS does not select the execution venues to which Apex routes Rule 606 reportable securities for execution. As a result, Apex is better positioned to prepare a quarterly report that reflects any execution venue specific maker-taker arrangements or other execution venue fees or rebates. Other executing firms Rule 606 reports are available here as well.
You can access these reports from this page by clicking below.
2022 Quarterly Reports
2nd Quarter - 2022
1st Quarter - 2022
2021 Quarterly Reports
4th Quarter - 2021
3rd Quarter - 2021
2nd Quarter - 2021
1st Quarter - 2021
2020 Quarterly Reports
4th Quarter - 2020
3rd Quarter - 2020
2nd Quarter - 2020
1st Quarter - 2020
2019 Quarterly Reports
4th Quarter - 2019
3rd Quarter - 2019
2nd Quarter - 2019
1st Quarter - 2019
