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What fees will I pay? 

Westrock does not charge brokerage account fees other than transaction-based fees (also known as commissions) maximum to an extent of 5% whether you make or loose money. Additionally, the following fees may be charged:

 

  • Inactivity fees (charged by AXOS Clearing)
  • Yearly IRA fees (charged by AXOS Clearing)
  • Reorg fees (charged by AXOS Clearing)
  • Brokerage Account Fees

 

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?

 

How do your financial professionals make money? How are we paid?

Commissions. We get commissions when you buy or sell financial products. Sometimes we also get payments from third parties. Example: Manufactured financial products, such mutual fund commission.

What about conflict of interest?

When we are paid commission by you, we do not have any conflict of interest. However, if we sell mutual funds or other manufactured products, we have built in conflicts and we must tell you about that recommendation to reduce or eliminate that conflict of interest.

What about care?

The Care Obligation requires broker-dealers to exercise reasonable diligence, care, and skill when making a recommendation that is in the best interest of a retail customer, taking into account their investment profile and the attendant risks, rewards, and costs. Guard against excessive trading, irrespective of whether the BD or AP “controls” the account must be considered. Although not a rule requirement, BDs should consider, as a best practice, applying heightened scrutiny as to whether high-risk or complex investments, such as inverse and leveraged ETFs, are in a retail customer’s best interest. As previously stated, Westrock does not recommend any manufactured products to its clients.

 

 

Where do you go for additional information?

You can visit Investor.gov/CRS for a free and simple search tool to research our firm and financial professionals.  

Please call Mr. Robin Bhattacharya your financial representative for more information at 845-371-8800 ext. 6

Or visit our website:

http://www.westrockcapitalmanagement.com/

 

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

 

You can visit Investor.gov/CRS for a free and simple search tool to research our firm and financial 

 

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?  

 

 

 

 

 

 

 

 

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