Deposits & Withdrawals

Deposits

You may deposit funds & securities to your account using any of the following methods:

• Check Deposit
  • Make check payable to National Financial Services.
  • Write your account number in the memo section of the check.
  • Mail your check to the address to the right.
• Incoming Wire Transfer

  Provide the following wire transfer instructions to the sending financial institution:

  ABA Routing #:	021 000 021
  Bank Name:	JP Morgan Chase
  Account #:	066-196-221
  Account Name:	NFS
  For Further Credit to Account #:	Your B. Riley Account Number
  For Further Credit to Account Name:	Your B. Riley Account Title

   

• Incoming DTC Transfer

  Provide the following DTC delivery instructions to the sending broker:

  1. DTC #0226 National Financial Services, LLC.
  2. Reference: Your B. Riley Account Title & Number
• Internal Transfer
  1. Complete the Internal Transfer Form.
  2. Return the form to B. Riley & Co.'s Operations Department via one of the methods to the right.
• Full Account Transfer
  1. Complete the Account Transfer Form
  2. Provide a copy of your most recent account statement (for the account you are transferring in).
  3. Return the documents to B. Riley & Co.'s Operations Department using one of the contact methods to the right.
• Physical Stock Certificate Deposit
  1. Complete the Irrevocable Stock Power Form
  2. Mail the executed Irrevocable Stock Power & the physical stock certificate to the address to the right.

Withdrawals

You may withdraw funds & securities from your account using any of the following methods.

• Check Withdrawal
  1. Complete the Check Request Form
  2. Return the form to B. Riley & Co.'s Operations Department.
• Outgoing Wire Transfer
  1. Complete the Wire Transfer Request Form
  2. Return the form to B. Riley & Co.'s Operations Department.
• Outgoing DTC Transfer
  1. Complete the DTC Transfer Form
  2. Return the form to B. Riley & Co.'s Operations Department.
• Outgoing DWAC Transfer
  1. Complete the DWAC Transfer Form
  2. Return the form to B. Riley & Co.'s Operations Department.
• Physical Stock Certificate Withdrawal
  1. Complete the Stock Certificate Request Form
  2. Return the form to B. Riley & Co.'s Operations Department.
• IRA Distribution
  1. Complete the IRA Distribution Form
  2. Return the form to B. Riley & Co.'s Operations Department .

Return the completed documents to B. Riley & Co.'s Operations Department.

• B. Riley & Co. Fee Structure

  Money & Stock Transfers	Fee
  Check Request	Free
  Check Request (Overnight)	$25
  Stop Payment	$30
  Outgoing Wire Transfer	$30
  Returned Checks	$30
  Outgoing Account Transfer	$75
  Physical Positions/Stock Certificates
  Security Transfers - Physical Stock Certificate Request	$250
  Security Transfers - DRS Registration	$15
  Security Transfers - Legal (Name change)	$100
  Safekeeping Fee	$10
  Retirement Accounts
  IRA Annual Maintenance Fee	$35
  IRA Termination Fee	$75
  Miscellaneous Fees
  Annual Inactivity Fee [1]	$30
  Trade Extension (past settlement)	$15
  Retail Statement/Confirmation Fee per trade	$1.00
  Physical Reorganization Fee	$40

  Commissions: Please contact your registered representative for commission information.

  [1] - The Annual Inactivity Fee is not assessed on retirement accounts, accounts that have traded in the prior 12 months, or accounts with money market balances in excess of $10,000.