TradeUP Securities - Why Trade Anywhere Else

U.S. Stock & ETFs

Commission (Online)$0

Commission (Broker-assisted)$25

Commission (Broker-assisted, sell order value <$25 only)$0.05*Value of Aggregate Sales

SEC Fees (Charged to sell orders only)$0.000278*Value of Aggregate Sales with minimum of $0.01/Order

FINRA Trading Activity Fee (Charged to sell orders only)$0.000166/Share with maximum of $8.3/Order

U.S. Equity and Index Options

Commission (Online)$0

Commission (Broker-assisted)$25 + $2/Contract

Commission (Broker-assisted, sell order value <$25 only)$0.05*Value of Aggregate Sales

Option Regulatory Fee (ORF)$0.0269/Contract

SEC Fees$0.000278*Value of Aggregate Sales with minimum of $0.01/Order

FINRA Trading Activity Fee (Charged to sell orders only)$0.00279/Contract

OCC Clearing Fee$0.02/Contract, with maximum of $55/Order

Mutual Funds

Commission (Broker-assisted)$25

Orders/Executions: Orders executed in multiple lots on the same day are charged a single commission; orders partially executed over multiple trading days are subject to commission charges for each trading day. Changes made to orders after partial execution are considered a new order. Mutual Funds: TradeUP Securities transaction fees for mutual funds are charged in addition to any fee charged by the fund company. Refer to the fund prospectus for complete information on all charges and fees. Fund shares may be purchased directly from the fund company with no transaction fee. Options: Option trading may not be suitable for all investors.

Interest on Idle Cash (Annual Rate)

Interest on Idle Cash (Annual Rate)0.1% with minimum payout amount of $1

Other Fees

Confirmation Mailing Fee$1

Statements Mailing Fee$2

Voluntary Reorganizations$25

Returned Check and Stop Payment Fees$20

Copy of Canceled Check$10

Overnight Delivery$20

Issue Stock Certificate$75

IRA Annual Custodian Fee$30

IRA Recharacterization/Roth Conversion$50

Legal Items$40

Wire Out Fee$50

Regulation T Extensions$25

Outgoing Account Transfer$50

ACH Reversal Fee$30

Margin related sell-out/buy-ins are charged at the broker rate. All commissions and fees are subject to change without notice.

MARGIN RATES

Annual Margin Interest Rate

Flat Rate

5.99%

We reserve the right to change our margin rates in response to a change in interest rates or other factors, including but not limited to, undue concentration in an account.

Interest on Cash Balances

Cash balances receive interest for each day your free credit balance exceeds $1000 as long as interest accrued is at least $1 per month.

We reserve the right to change our credit interest rates (even to 0%) in response to changes in interest rates or other factors.

TradeUP Securities, Inc. ("TradeUP Securities") is a member of FINRA, SIPC, and NYSE, 437 Madison Ave, 27th Floor, New York, NY 10022. For further information about TradeUP Securities, Inc., see FINRA BrokerCheck.

All investments involve risk, including possible loss of principal. Past performance of a security, market, or financial product does not guarantee future results. Electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance, and other factors. Market volatility, volume, and system availability may delay account access and trade executions.

$0.00 commission applies to online U.S. equity trades, equity options and exchange-traded funds (ETFs) in a retail account only for TradeUP Securities retail clients. Sell orders are subject to an activity assessment fee. Other exclusions and conditions may apply. Click here for details. Institutional accounts, OTC securities trading and other types of high-touch services are subject to different commission schedules.

Margin may not be suitable for all investors due to the risks associated with using leverage. Please review the Margin Disclosure Statement to determine whether a margin account aligns with your investment objectives and risk tolerance.

IPOs involve substantial risk and are not appropriate for every investor. Customers should read the offering prospectus carefully and make their own determination of whether an investment in the offering is consistent with their investment objectives, financial situation, and risk tolerance.

There are risks associated with short selling, including the risk of unlimited losses and incurrence of margin interest debt. Short selling is not suitable for all investors. Customers should make their own determination of whether a short selling strategy is consistent with their investment objectives, financial situation, and risk tolerance. TradeUP Securities does not recommend or endorse the investment of securities that are made available for short sell. Short sell orders can only be placed in a margin account with total account equity of $2000 or above. Options trading entails significant risk and is not appropriate for all investors. Certain complex options strategies carry additional risk. Before trading options, please read Characteristics and Risks of Standardized Options. Supporting documentation for any claims, if applicable, will be furnished upon request.

No content on the website shall be considered a recommendation or solicitation for the purchase or sale of securities, futures or other investment products. All information and data on the website are for reference only and no historical data shall be considered as the basis for judging future trends.

Please read through our Terms and Conditions before investing.

Customer Relationship Summary

SEC RULE 606

Extended Hours Trading Risk Disclosure