COMMISSIONS SCHEDULES

Liberty Associates is a full-service, introducing broker-dealer which offers one-on-one, direct hands-on service, support, recommendations, transaction management to our clients.  As such, our brokers charge various commission schedules depending upon the transaction, complexity involved, including the research requirements, and time associated with each transaction.

Commissions for our publicly traded transactions are negotiable and generally range from 1-1/2% to 2-1/2% or less of the principal amount invested, including fees.  Some unique transactions can be eligible to have a higher commission charge amount up to 5% of the invested funds depending upon the aforementioned circumstances but these are not typical and the vast majority of commissions are generally less.

In the case of a low-value transaction where a percentage of the transaction does not make sense, the broker may charge $125 or less for the service and support on the transaction depending upon the unique circumstances.

Commissions for the broker serviced accounts and clients are always discussed with the client prior to each transaction upon obtaining client authorization.  The broker obtains verbal consent for the transaction’s commissions charges.  We also provide clients with verbal disclosure on alternatives including ones that are away from the firm that may be less expensive should they choose to consider seeking those alternatives in lieu of the full-service account methodology.  This allows the Client to make informed investment decisions that incorporate commissions and costs as part of the overall investment consideration.

The firm also offers self-directed accounts and self-trading where the client-account-holder is charged a ticket charge of $15 per trade and associated fees only.

Should you have any questions, please discuss them directly with your representative and call the firm directly and ask to speak with a Principal.