Common use of Miscellaneous Account and Service Fees Schedule Clause in Contracts

Miscellaneous Account and Service Fees Schedule. RIA The listed fees below do not include commissions, markups, commission equivalents or advisory fees. These fees apply to the following LPL Financial accounts available to clients of investment advisor firms: SWM, SWM II, Optimum Market Portfolios (OMP), Model Wealth Portfolios (MWP), Personal Wealth Portfolios (PWP), Manager Access Select, and Manager Access Network. Some of these fees may not apply to all of these account types. Some of these fees may be waived under certain conditions.1 ACCOUNT OR SERVICE FEE FREQUENCY ACCOUNT MAINTENANCE Corporate Actions — Mandatory (if securities are in physical form) $15 Per security Corporate Actions — Voluntary or Mandatory with Options (if election is made) $25 Per security Express Mail/Overnight Delivery $15 Per shipment unless otherwise noted Extension for Money or Securities Received Past Settlement $15 Per event Interest Charged for Money or Securities Received Past Settlement Cash Due Interest Rate Begins accruing 3 days after trade settlement Legal Transfer — for processing of certificate requiring legal documentation (e.g., power of attorney, court appointment, death certificate, corporate resolution, etc.) $20 Per security Outgoing Account Transfer — for processing full account transfer of all assets and positions to another financial institution (excludes retirement accounts) $125 Per account Outgoing Account Transfer Check — for processing outgoing account transfer of physical checks $15 Per check over $1,000 Return/Rejected Item/Non-Sufficient Funds (NSF) $20 Per item Retirement Account Fees: Annual XXX Maintenance — for custodial and tax reporting services provided to maintain an individual retirement account (XXX) 2 $40 Per year/per account

Miscellaneous Account and Service Fees Schedule. RIA Advisory The listed fees below do not include commissions, markups, commission equivalents or advisory fees. These fees apply to the following LPL Financial accounts available to clients of investment advisor firmsprogram accounts: SWMStrategic Asset Management (XXX), SWM IIXXX XX, Optimum Market Portfolios Portfolios, Advisory and Brokerage (OMP), Model Wealth Portfolios (MWP), Personal Wealth Portfolios (PWP), Manager Access Select, ) and Manager Access NetworkSelect. Some of these fees may not apply to all of these account types. Some of these fees may be waived under certain conditions.1 ACCOUNT OR SERVICE FEE FREQUENCY ACCOUNT MAINTENANCE Transaction Fee/Service Charge2 $5 Per transaction Corporate Actions — Mandatory (if securities are in physical form) $15 Per security Corporate Actions — Voluntary or Mandatory with Options (if election is made) $25 Per security Express Mail/Overnight Delivery $15 Per shipment unless otherwise noted Extension for Money or Securities Received Past Settlement $15 Per event Interest Charged for Money or Securities Received Past Settlement Cash Due Interest Rate Begins accruing 3 days after trade settlement Legal Transfer — for processing of certificate requiring legal documentation (e.g., power of attorney, court appointment, death certificate, corporate resolution, etc.) $20 Per security Outgoing Account Transfer — for processing full account transfer of all assets and positions to another financial institution (excludes retirement accounts) $125 Per account Outgoing Account Transfer Check — for processing outgoing account transfer of physical checks $15 Per check over $1,000 Return/Rejected Item/Non-Sufficient Funds (NSF) $20 Per item Small Account Fee3 $10 Per quarter (for accounts below $100,000) Retirement Account Fees: Annual XXX Maintenance — for custodial and tax reporting services provided to maintain an individual retirement account (XXX) 2 XXX)4 $40 Per year/per account

Miscellaneous Account and Service Fees Schedule. RIA Advisory The listed fees below do not include commissions, markups, commission equivalents or advisory fees. These fees apply to the following LPL Financial accounts available to clients of investment advisor firmsprogram accounts: SWMStrategic Asset Management (XXX), SWM IIXXX XX, Optimum Market Portfolios Portfolios, Advisory and Brokerage (OMP), Model Wealth Portfolios (MWP), Personal Wealth Portfolios (PWP), Manager Access Select, ) and Manager Access NetworkSelect. Some of these fees may not apply to all of these account types. Some of these fees may be waived under certain conditions.1 ACCOUNT OR SERVICE FEE FREQUENCY ACCOUNT MAINTENANCE Transaction Fee/Service Charge2 $5 Per transaction Corporate Actions — Mandatory (if securities are in physical form) $15 Per security Corporate Actions — Voluntary or Mandatory with Options (if election is made) $25 Per security Express Mail/Overnight Delivery $15 Per shipment unless otherwise noted Extension for Money or Securities Received Past Settlement $15 Per event Interest Charged for Money or Securities Received Past Settlement Cash Due Interest Rate Begins accruing 3 days after trade settlement Legal Transfer — for processing of certificate requiring legal documentation (e.g., power of attorney, court appointment, death certificate, corporate resolution, etc.) $20 Per security Outgoing Account Transfer — for processing full account transfer of all assets and positions to another financial institution (excludes retirement accounts) $125 Per account Outgoing Account Transfer Check — for processing outgoing account transfer of physical checks $15 Per check over $1,000 Return/Rejected Item/Non-Sufficient Funds (NSF) $20 Per item Small Account Fee3 $10 Per quarter (for accounts below $100,000) Retirement Account Fees: Annual XXX IRA Maintenance — for custodial and tax reporting services provided to maintain an individual retirement account (XXX) 2 IRA)4 $40 Per year/per account