Pricing & Policies

Commissions

ZERO COMMISSION* Account

FULL SERVICE* Account

Stocks & ETFs

$0.00 per online trade

$0.001 per share; $5.00 minimum per trade

Options

$0.50 per option contract charge

$5.00 + $0.50 per option contract charge

Phoned-in Orders (Stocks, ETFs and Options only)

$25.00 per trade + above charges

$0.00 per trade + above charges

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 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. Click here or 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.
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*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

0.00%
0.00%
0.00%
0.00%
0.00%
0.00%

Broker call rate: 7.25% (as of September 6, 2023). 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

Involuntary Reorgs / Mandatory Corporate Actions

$25.00 per corporate action or reorg (includes forward and reverse splits)

Reg T Margin Extensions

$20.00

Escheatment/Dormant Account Fee

$75.00

Policies & Disclosures

Disclosures - ALL Accounts

Disclosures - ZERO COMMISSION Accounts

Disclosures - FULL SERVICE Accounts

TradingBlock Privacy Policy

What does TradingBlock do with your personal information?‍
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Why?

Financial companies like TradingBlock can choose how your personal information is shared. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires TradingBlock to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do with your personal information.

What?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

- Name, address, contact details
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- 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.

How?

TradingBlock shares customer personal information to run its everyday business. In the section below, we list the reasons TradingBlock chooses to share and whether you can limit this sharing.

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Reasons we can share your personal information

Does TradingBlock share?

Can you limit this sharing?

For our everyday business purposes - such as to process your transactions, maintain your account(s), respond to court orders and legal investigations as permitted under law, or report to credit bureaus

Yes

For our marketing purposes - to offer our products and services to you

Yes

For joint marketing with other financial companies

Yes

For our affiliates' everyday business purposes - information about your transactions and experiences

Yes

For our affiliates' everyday business purposes - information about your creditworthiness

We don't share

For our affiliates to market to you

Yes

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To limit our sharing

You may call us at 1-800-494-0451 or you can visit us online and follow the instructions below:

- Log into your TradingBlock account at https://dashboard.tradingblock.com.
- Go to Account Management block and click on the Contact Preferences tab.
- Click the "Update" button.
- In the pop-up window, under "Would your like to receive promotional emails?", click "No".
- Click "Submit" button.

You may also use the Form below and submit the request in writing to:

TradingBlock
Attn: Customer Service
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.

Questions?

Call 1-800-494-0451 or email us at service@tradingblock.com.

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Mail-in Form

Mark any/all you want to limit:

____ 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

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Who is providing this notice?

TradingBlock

How does TradingBlock protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How does TradingBlock collect my personal information?

We collect your personal information, for example, when you:

- 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

Why can’t I limit all sharing?

Federal law gives you the right to limit only:

- 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.)

What happens when I limit sharing for an account I hold jointly with someone else?

Your choices will apply to everyone on your account.

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Definitions

Affiliates

Our affiliated Companies (both financial and non-financial) related by common ownership or control under Cambria Holdings, Inc. Currently there are no other affiliated companies. AOS, Inc. does business as TradingBlock and MoneyBlock.

Non-affiliates

Companies not related by common ownership or control. They can be financial and non-financial companies. TradingBlock does NOT share with non-affiliates.

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you. TradingBlock does not jointly market.

Stocks & ETFs

Options

Margin Requirements

At TradingBlock, we strive to maintain minimum margin requirements to help our clients maximize their portfolio buying power. Please click the link below for additional information on our margin requirements. Note that this information is provided for educational purposes only, and is subject to change at any time.

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.
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Order Routing Reports (SEC 606)

In accordance with U.S. Securities and Exchange Commission (SEC) Rule 606, AOS, Inc., doing business as TradingBlock(“AOS”), is publishing information about its routing practices for non-directed orders in US exchange-listed equity securities and options.

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.
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2023 Quarterly Reports
2nd Quarter - 2023
1st Quarter - 2023

2022 Quarterly Reports
4th Quarter - 2022
3rd Quarter - 2022
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