Sunbelt Securities Inc

Item 5 – Fees and Compensation

Clients should note that the same or similar service to those described in Item 4 above may
be available elsewhere at a lower cost to the client.

This section of the Brochure lists additional information concerning fees and compensation
for all investment advisory services available through Sunbelt:

    •   IARs are compensated for their advisory services by charging an advisory fee (“Fee”)
        based on a percentage of the value of the assets in the client’s account. The annual
        Fee for Sunbelt RD is negotiable at the discretion of Sunbelt depending upon a
        number of factors including, but not limited to, the amount of the assets under
        management, the nature and extent of account relationships between Sunbelt and its
        affiliates with the client, the type and complexity of services requested, and other
        factors that the IAR deems relevant. The maximum Fee is 2.50% of the client’s assets
        under management, charged monthly. The Fee will apply to the entire balance of the
        account, including cash and money market balances.

    •   The Fee is based on the asset value of a client’s account on the last day of the
        previous month charged in advance and is normally deducted monthly directly from
        the client’s account.

    •   In addition to the advisory fees, clients will be charged all annual maintenance fees,
        custodial fees and termination fees within a Sunbelt RD account, including but not
        limited to, the following pricing schedule established by National Financial Services,
        LLC (“NFS”), Fidelity Institutional Management Wealth Services (“IWS”) and Charles
        Schwab Advisory Services, LLC (“Schwab”).

Rev.033126                              Page 10 of 30                           Sunbelt Securities, Inc.
                                  Form ADV Part 2A Brochure

                National Financial Services LLC Account and Service Fees

Account Fees
                                                                       $35.00 per account per
Annual IRA Maintenance Fee
                                                                       year
IRA Transfer Fee/Closing Fee                                           $160.00 per account
TOA Deliveries (ACAT Exit Fee)                                         $100.00 each
 Legal Transfers                                                       $150.00 per issue
Legal Returns                                                          $75.00 per issue
Transfer and Ship (DRS‐Eligible)                                       $15.00 each
Transfer and Ship (Non‐DRS– Eligible)                                  $500.00 each
Trade and Margin Extensions                                            $12.00 each
Mailgrams                                                              $5.00 per mailgram
Physical Reorganizations                                               $150.00 per event
Bounced Check Fees                                                     $25.00 each
Stop Payments                                                          $25.00 each
Annual Custody Fee (applies only to inactive accounts)                 $50.00 per year
Wire Transfer                                                          $25.00 per wire
Foreign Securities Transfer                                            Pass through fees
                                                                       $15.00 per certificate/
Safekeeping
                                                                       month
Restricted Stock Transactions (Full Service)                           $150.00 each
Restricted Stock Transactions (Sell Without Approval)                  $40.00 each
Mutual Fund Surcharge for Funds not in Fidelity Partner Program        $10.00 per transaction
Brokerage Account Trade Service Fee                                    $5.50 per trade
Advisory Account Trade Service Fee                                     $1.00 per trade
Paper Account Statements Fee                                           $10.00 per Quarter

Alternative Investments
Initial Purchase Redemptions                                           $50 per trade
Transfer/Re-registration                                               $50.00 per trade
Annual Custody & Valuation Registered Investments                      $35.00 per investment
Annual Custody & Valuation Non-Registered Investments                  $125 per investment

Cash Management Features
Standard Brokerage Annual Account Fee (unlimited bill pay & ACH)       $10.00 per year
Standard Brokerage Annual Account Fee (unlimited bill pay & ACH)
                                                                       $15.00 per year
with Checks
Brokerage Portfolio (unlimited use of all features and rewards)        $100.00 per year
Brokerage Portfolio (unlimited use of all features and rewards) with
                                                                       $110.00 per year
Card

Rev.033126                             Page 11 of 30                         Sunbelt Securities, Inc.
                                 Form ADV Part 2A Brochure

                Charles Schwab Advisory Services LLC Account and Service Fees

Account Fees
Transfer and Ship (currently in physical form)                                               $100.00 each
Transfer and Ship (currently held in street name)                                            Variable cost
Security Reorganization                                                                      $9.95 each
Transfer of Title of Securities                                                              $25.00 per position
Foreign Securities Transfer                                                                  Pass through fees
                                                                                             $15.00 per certificate/
Safekeeping
...

Item 7 – Types of Clients

Sunbelt, through its IARs, offers investment advisory services to retail, entity and institutional
clients. Prior to opening an investment advisory account or engaging an IAR for any service
through Sunbelt, clients must complete a Sunbelt Brokerage Application and/or Customer
Profile Form and any additional account documentation, contracts and/or agreements.

Sunbelt Advisory accounts require a minimum investment of $25,000. This may be waived at
the discretion of Sunbelt. No minimum investment is required for Financial Planning
Services.

Clients wishing to participate in a Third-party Money Manager/Sub-Advisor program are
advised to review the account opening documentation, as the minimum investment amounts
vary for each program specific to that Third-party Money Manager/Sub-Advisor.

All types of advisory programs offered through Sunbelt may require that clients maintain
these minimum investment amounts after the account opening to continue receiving the
services chosen by the client.