Northwestern Mutual

NMIS Fee Schedule

Effective December 8, 2015

Account Fees



Customer Name Safekeeping $48.00/position/year
Foreign Securities Safekeeping $48.00/position/year
Employee Stock Option Exercise $100.00
Margin Extensions / Late Payment1 $10.00
Closing / Transfer Out Fee $95.00
No- and Low-Load Mutual Fund Transaction Fee (Service Charge)2 $75.00
Signature Advisory Programs Transaction Fee3 $30.00
Options Regulatory Fee Fee imposed by applicable Regulatory
Agencies/Exchanges
Exchange/Self-Regulatory Organization Transaction Fee4 Fee imposed by applicable Regulatory Agencies/Exchanges/SROs

Limited Partnerships / Alternative Investments


Registered Alternative Investments Fee5 $35.00/position/year
Unregistered Alternative Investments Fee5 $125.00/position/year
Eligibility Review $300.00
Subscription / Redemption / Re-Registration5 $50.00 + Fee imposed by Transfer Agent
Private Placements Safekeeping $4.00/position/month
Unrelated Business Taxable Income (UBTI) $200.00/tax return filed

IRA Accounts - Northwestern Mutual Wealth Management Company as Custodian


Setup Fee $0.00
IRA Household Northwestern Mutual Cash Management Gold or Platinum6 $0.00
Annual Fee7 $50.00
Closing / Transfer Out Fee7 $95.00
Coverdell ESA Annual Fee7 $25.00
Coverdell ESA Closing / Transfer Out Fee7 $95.00

Physical Security Deposits and Transfers


Legal Deposit Fee8 $60.00 per CUSIP
Reorganization9 $10.00
Foreign Fixed Income Clearance $50.00
Foreign Securities Deposits and Transfers10 $50.00/$75.00
Foreign Financial Tax11 Tax charged for certain foreign securities transactions in a foreign market.
Incoming and/or Outgoing Account Transfer Fee imposed by the Transfer Agent
Foreign Stock Dividend Fee imposed by the Depository
Treasuries and GNMA Transfers / Deposits $50.00 per Certificate
Asset Delivery to Transfer Agent $10.00
Restricted Stock Processing Fee12 $40.00/$90.00

Cash Management Services Fees


Wire Transfer $15.00
Check Overnight Disbursement $12.00
Returned Check / ACH $25.00
Overdraft / Prepayment Fee $40.00

IRA Resource Checking13


Annual Fee $0.00
Check Stop Payment (No additional charge is incurred if a series of checks are stopped) $10.00
Historical Check Copy $2.50
Returned Check / Electronic Payment $25.00
Check Re-Orders $0.00
Expedited Delivery Fee $20.00
Overdraft Fee $40.00

Northwestern Mutual Cash Management Silver (Available in non-IRA accounts only)


Annual Fee $0.00
Check Stop Payment (No additional charge is incurred if a series of checks are stopped) $10.00
Historical Check Copy $2.50
Returned Check / Electronic Payment $25.00
Wallet Style Check Re-Orders $10.00
Expedited / Alternative Address Delivery Fee $20.00
Overdraft Fee $40.00
Bill Suite $0.00

Northwestern Mutual Cash Management Gold and Platinum
(Not available for IRA or Signature Advisory Accounts)


Annual Fee14 $100.00
Check Stop Payment (No additional charge is incurred if a series of checks are stopped) $10.00
Historical Check Copy $2.50
Returned Check / Electronic Payment $25.00
Wallet Style Check Re-Orders $10.00
Expedited / Alternative Address Delivery Fee $20.00
Overdraft Fee $40.00
Bill Suite $0.00

 

Additional Information

  • Northwestern Mutual
  • Northwestern Mutual Investment Services, LLC
  • Northwestern Long Term Care Insurance Company