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Commission Schedule – Stocks Transaction Amount Commission Rate $0.01 - $1,000 2.5% $1,000.01 - $2,000 2% + $5 $2,000.01 - $5,000 1.3% + $19 $5,000.01 - $10,000 1.6% + $4 $10,00.01 - $30,000 1.04% + $59 $30,000.01 - $300,000 .55% + $205 Over $300,000 0.2% + $1,225 Lincoln Financial Securities Corporation (LFS) Brokerage Commission Schedule and Trading/Execution Fees for National Financial Services (NFS) Accounts Additional Fee based on Share Quantity Number of Shares Additional Fee Per Share 0 - 100 shares $0.03/share + $12 101 - 400 shares $0.15/share Over 400 shares: $0.05/share + $40 Total commission is the commission rate plus the additional fee based on share quantity. Commission Schedule – Options Transaction Amount Commission Rate Less than $2,500.00 $35 + .019 of Amount $2,500.00 - $10,000.99 $59 + .01 of Amount $10,001.00 and Greater $119 + .004 of Amount Brokerage Trading/Execution Fees Execution/Fee Type Alternative Investment Purchase/ Redemption/Re-Registration Mutual Fund Transaction Fees1 Cost $50 per transaction $15 No Load Mutual Fund Transaction Fee2 $15 Fixed Income Securities Ticket Charge3 $50 Unit Investment Trust (UIT) $35 Transaction Fees Additional Fee Information for Options The maximum charge is $40 per contract on the first two contracts plus $5 per contract thereafter per transaction. The minimum charge is $50 per transaction. Execution/Fee Type Shipping and Handling Fees Cost $5 Per trade. Fee waived on Systematic Investments, No Transaction Fee Funds (NTF), and Custom Wealth Advantage Managed Accounts. Options Exercise and Assignment $25 • Mandatory regulatory fees may apply. • Charges may be reduced or may not apply to certain Custom Wealth Advantage Managed Accounts. Normally Lincoln Financial Securities waives the transactional fees for mutual fund transactions beyond a service and handling fee and any fund company charges outlined in the product prospectus. However, we do reserve the right to charge a mutual fund transaction ticket charge. This fee may be charged by the registered representative or registered investment advisor assigned to your account. Discuss this and all charges with your registered representative or registered investment advisor. In addition, a $10 Transaction Surcharge is assessed on buys, sells and exchanges roundtrip within those fund families not participating in the Fidelity Partner Program. Check with your representative for a current list of funds. 1 2 Excludes accounts qualifying for No-Load Mutual Fund transaction charge waivers. 3 LFN may act as principal. Therefore securities may be subject to a mark-up or mark-down rather than to a commission charge. Custom Wealth Advantage Trading Charges Security (Buy and Sell) Fee Listed Equities $15 for first 1,000 shares $0.01 per additional share Over-the-Counter (OTC) $15 Equities Options $25 +$1.50/contract UIT $25 Bonds Fee Corporate, Municipal, Government National Mortgage Association (GNMA), Treasury, Government Agencies & other Government Bonds $40 The Brokerage Trading/Execution Fees listed above will apply for Mutual Funds unless otherwise specified. In lieu of charges on individual transactions, certain CWA investment programs will assess a flat or asset-based custody and execution charges that are bundled into the total program fee. The total program fee is found on the Statement of Investment Selection when opening your account. Lincoln Financial Securities reserves the right to amend this Fee and Commission Schedule, in its sole discretion, upon written notice to the Account Holder. The Account Holder will be deemed to have consented to the changes if the Account Holder continues to maintain the account(s) and/or request any of the services referenced herein. Lincoln Financial Securities is the marketing name for the retail sales and financial planning affiliates, Lincoln Financial Securities Corporation and Lincoln Financial Advisors Corporation, both dually registered broker-dealer and investment adviser entities. Page 1 of 2 LFN111153/17 Brokerage Service Charges Brokerage Service Inactive Brokerage Account Fee Brokerage Access with Debit Card Account Brokerage Portfolio Gold Checking Account Maintenance Fee Brokerage Portfolio Platinum Checking Account Maintenance Fee Retirement Account Annual Maintenance Fee Retirement Account Termination Fee Transfer of Assets Delivery for NonRetirement Accounts (to Another Firm) Alternative Investment Annual Custody and Valuation Fees Additional Orders of Checks for Brokerage Access and Retirement Accounts with Checkwriting Fed Wire Transfer Fee Overnight Checks Returned Check (Outgoing Requests) Stop Payment (Outgoing Check Requests) Cash Debit Balance Interest Charge Legal Transfer of Stock Certificate Legal Return of Stock Certificate Physical Certificates: Securities Safekeeping Fee Physical Reorganization Direct Registration of Securities (DRS) Transfer and Ship DRS Eligible Non DRS Eligible Duplicate Statement /Trading Confirmations Cost $35 $50 $100 When is the fee charged? Debited annually. Certain activity or account types may not be subject to the fee. Debited annually. Debited annually. $150 Debited annually. $35 $95 $75 Debited annually. Debited at the time of termination or full transfer out. Debited at time of full transfer out. $75 Debited annually per position. $5 per reorder Debited from account at time of check reorder $15 per occurrence $12 to $24 per occurrence $25 per occurrence $15 per occurrence NFBLR + 3.00% Client charged at occurrence. Client charged at occurrence. Fee contingent upon timing of delivery and shipping carrier. Client charged at occurrence. Client charged at occurrence. Debited Monthly. The National Financial Base Lending Rate (NFBLR) is set at the discretion of NFS and can change without notice. Client charged at occurrence. Client charged at occurrence. Client charged at occurrence. $90 per occurrence $75 per occurrence $15 per certificate/ monthly $50 per occurrence $25 per occurrence $250 per occurrence $10 Client charged at occurrence. Client charged at occurrence. Client charged at occurrence. Client charged per statement or confirmation request. Charges may be reduced or may not apply to certain Registered Investment Advisor Managed Accounts. Page 2 of 2 LFN111153/17