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Client Relationship Summary

August 8, 2022

TradePro Securities Inc. is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer. Brokerage and investment advisory services and fees differ, and it is important for you to understand the differences. This Client Relationship Summary provides details about our brokerage services, fees, and other important information.

Free and simple tools are available for investors to research firms and financial professionals at Here, you can also find educational materials about broker-dealers, investment advisers, and investing.

TradePro Securities Inc. is a traditional broker-dealer providing brokerage services to retail and institutional clients. Brokerage services unlike advisory services are used by clients that have established their objectives and have determined their investment plans. Advisory firms, unlike broker-dealers, specialize in helping clients determine their goals and objectives and establish investment plans and portfolios.

Clients should carefully consider their needs and goals and may want to consider investment advisors or certified financial planners when establishing goals and portfolio selection.

The Firm’s traditional clients are high net worth and experienced investors. Our clients maintain portfolios comprising of equity, fixed income and mutual fund positions and are long-term investors. The Firm does not provide recommendations. Our representatives are fully licensed and have over 30 years in relevant experience, providing clients with trading assistance and researching client questions on investment selection, presenting clients with potential investment options to choose from. All investment decisions are ultimately made by the client.

Our supervisory reviews include the following to ensure that our client’s best interests are monitored and protected:

  • The Firm monitors the daily trading activities of our clients and reviews the activity for inappropriate investment selection as well as any unusual trading activity.

  • The Firm does not permit discretionary accounts, and all clients make the ultimate decisions regarding the purchase or sale of any security.

  • The Firm offers no proprietary investment products and actively researches the best product our client is interested in at the lowest cost available.

  • The Firm does not offer sales incentives or promotions.

What fees will I pay?

The Firm does not make recommendations to retail investors, any questions or concerns regarding your account should be emailed to [email protected]

Conversation Starters.

Ask your financial professional these questions to learn more:

  • Given my financial situation, should I choose a brokerage service? Why or why not?

  • How will you choose investments to recommend to me?

  • What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean?

Conversation Starter –

Who is my primary contact person?
Is he or she a representative of an investment adviser or broker-dealer?
Who can I talk to if I have concerns about how this person is treating me?

Our commissions charged range from zero commissions for self-directed electronic trading, to 2% plus, for more sophisticated products. Commissions are charged at the time a trade is consummated. Commissions and fees on alternative investments, investment banking, and corporate service activities are determined on a case-by-case basis and directly negotiated with the client.

The Firm requires no account opening charges, no minimum account size, no monthly minimums.

You may pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.

Conversation Starter –

Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

What are your legal obligations to me when providing recommendations?
How else does your firm make money and what conflicts of interest do you have?

We do not provide recommendations or solicit trades; we simply assist our clients with trading and provide potential investment alternatives when requested. The Firm policy of no solicitation, no proprietary investment products, no sales incentives or promotions helps eliminate potential conflicts of interest and ensure that a client’s best interests come first.

The Firm may receive payment for order flow or other compensation related to your orders. The Firm ensures that the client receives the best possible execution price given their objectives without taking into considerations these payments.

Clients can be assigned a contact person upon opening an account. As noted earlier all our representatives are broker dealer employees and do not act as investment advisors.

For further information concerning potential conflicts of interest or any concerns about a representative of the Firm, please contact Claudette Gay, director of compliance at 305-446-4800.

Do you or your financial professionals have legal or disciplinary history?


You can visit for a free and simple search tool to research our firm and financial professionals’ regulatory history.

For additional information about TradePro Securities Inc.,or to request a copy of this relationship summary please contact the Firm at [email protected]. You may also call 305-446-4800 to request up-to-date information or a copy of this relationship summary.

For current pricing and rates visit 


Account Related Fees
Fee Schedule Effective Aug 1, 2023*

Account Access and Market Data Fee$10 per month (per account)
DK Items$20.00 per item
DK Items on $25 per item plus interest (FFR+5%)
DVP Trades
Domestic Voluntary $50 per cusip per account
Corp Actions/
DRS Transaction$75 per security
DTC $2 per security
Free Deliveries
DWAC$75 per event
DWAC/DRS Reject$125 per security
Electronic Delivery of No charge
Confirms/Statement/Tax Doc
Escheatment Processing$75.00 per account
In-Bound ACATSsNo charge
Out-bound ACATs$75 per ACAT
In-coming Wire FeesNo charge
Involuntary Reorgs$25 per corporate action or reorg (includes forward and reverse splits)
Mandatory Corporate Actions
Low Priced Securities$0.00275/shr with 5% notional trade value max.
Margin Extensions$25 per event
Margin Sell out Fee$25 per ticket
Margin Rates**< $25,000 – FFR+700 bps
$25,001 – $100,000 –FFR+600 bps
$100,001 – $250,000FFR+500 bps
$250,001 – $1 millionFFR+400 bps
$1 million – $5 millionFFR+300 bps
$5 million and aboveFFR+200 bps
Non-transferable stock held$10 per month per stock
NSCC Illiquidity Fee$250 per trade plus 15% interest/annum on NSCC charge
Option Exercise/Assignment$5 per symbol per account
Out-going Wire Fees – Domestic$25 per wire
Out-going Wire Fees – International$50 per wire
Overnight mailas incurred pass thru
Paper check Draft (USD)$5 per check
Stop payments on Issued Checks$30 per check
Check Copies$15 each
Returned Checks/ACH Wires $30 per transaction
Recalls including Amendments
ACH Notice of Correction$5 per notice
Confirmations$2 per confirm
Statements$5 per statement
Paper Prospectus Mailing$2.50 per mailing
TOD Account Transfer Fee$200 per transfer
Postage for Paper confirms$2 per daily confirm
Postage for Paper statements,$5 per item
tax docs
Reg 144 SalesFees will vary. Need to confirm in advance
Reorg Physical Processing Fee$125 plus transfer agent fees
Reorg Wire (UDS)$20 per item
Reorg Wire (International)$30 per item
Retirement Accounts$30 setup fee
$40 annual maintenance fee
$60 termination fee
Setup, Annual Maintenance, and Termination Fees for IRAs 
Traditional, Roth, SEP IRAs
Returned Mail$2 per item
Short Buy-in Fee$25 per ticket
Stock Borrow FeeFee set by market – pass thru as incurred
Trade Corrections$10 per item