401k Plan data: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN plan

WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 401k Plan overview

Plan Name	WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN
Plan identification number	001

WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

WALL STREET ACCESS has sponsored the creation of one or more 401k plans.

Company Name: WALL STREET ACCESS

Employer identification number (EIN): 133057481

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 JOHN MITCHELL 2024-04-17 JOHN MITCHELL 2024-04-17
001 2022-01-01 JOHN MITCHELL 2023-09-25 JOHN MITCHELL 2023-09-25
001 2021-01-01 JOHN MITCHELL 2022-06-23 JOHN MITCHELL 2022-06-23
001 2020-01-01 PETER LORSON 2021-06-03
001 2019-01-01 PETER LORSON 2020-05-05
001 2018-01-01 PETER LORSON PETER LORSON 2019-06-18
001 2017-01-01 PETER LORSON PETER LORSON 2018-06-19
001 2016-01-01 PETER LORSON PETER LORSON 2017-08-17
001 2016-01-01
001 2015-01-01 PETER LORSON PETER LORSON 2016-07-13
001 2014-01-01 PETER LORSON PETER LORSON 2015-07-17
001 2013-01-01 PETER LORSON PETER LORSON 2014-07-17
001 2012-01-01 PETER LORSON
001 2011-01-01 PETER LORSON
001 2009-01-01 VALERIE A TAVANA

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	JOHN MITCHELL	2024-04-17	JOHN MITCHELL	2024-04-17
001	2022-01-01	JOHN MITCHELL	2023-09-25	JOHN MITCHELL	2023-09-25
001	2021-01-01	JOHN MITCHELL	2022-06-23	JOHN MITCHELL	2022-06-23
001	2020-01-01	PETER LORSON	2021-06-03
001	2019-01-01	PETER LORSON	2020-05-05
001	2018-01-01	PETER LORSON		PETER LORSON	2019-06-18
001	2017-01-01	PETER LORSON		PETER LORSON	2018-06-19
001	2016-01-01	PETER LORSON		PETER LORSON	2017-08-17
001	2016-01-01
001	2015-01-01	PETER LORSON		PETER LORSON	2016-07-13
001	2014-01-01	PETER LORSON		PETER LORSON	2015-07-17
001	2013-01-01	PETER LORSON		PETER LORSON	2014-07-17
001	2012-01-01	PETER LORSON
001	2011-01-01	PETER LORSON
001	2009-01-01	VALERIE A TAVANA

Plan Statistics for WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

401k plan membership statisitcs for WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

Measure Date Value
2018: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 64
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 27
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 31
Total of all active and inactive participants 2018-01-01 58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 58
Number of participants with account balances 2018-01-01 58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 72
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 31
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 33
Total of all active and inactive participants 2017-01-01 64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 64
Number of participants with account balances 2017-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 80
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 37
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 35
Total of all active and inactive participants 2016-01-01 72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 72
Number of participants with account balances 2016-01-01 72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 77
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 45
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 35
Total of all active and inactive participants 2015-01-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 80
Number of participants with account balances 2015-01-01 80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 98
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 33
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 42
Total of all active and inactive participants 2014-01-01 75
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 75
Number of participants with account balances 2014-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 51
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 47
Total of all active and inactive participants 2013-01-01 98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 98
Number of participants with account balances 2013-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 101
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 44
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 53
Total of all active and inactive participants 2012-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 97
Number of participants with account balances 2012-01-01 76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 50
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 51
Total of all active and inactive participants 2011-01-01 101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 101
Number of participants with account balances 2011-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2009: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 76
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 80
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 44
Total of all active and inactive participants 2009-01-01 124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 124
Number of participants with account balances 2009-01-01 107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2

Measure	Date	Value
2018: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	64
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	27
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	31
Total of all active and inactive participants	2018-01-01	58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	58
Number of participants with account balances	2018-01-01	58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	72
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	31
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	33
Total of all active and inactive participants	2017-01-01	64
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	64
Number of participants with account balances	2017-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	80
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	37
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	35
Total of all active and inactive participants	2016-01-01	72
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	72
Number of participants with account balances	2016-01-01	72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	77
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	45
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	35
Total of all active and inactive participants	2015-01-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	80
Number of participants with account balances	2015-01-01	80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	98
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	33
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	42
Total of all active and inactive participants	2014-01-01	75
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	75
Number of participants with account balances	2014-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	51
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	47
Total of all active and inactive participants	2013-01-01	98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	98
Number of participants with account balances	2013-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	101
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	44
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	53
Total of all active and inactive participants	2012-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	97
Number of participants with account balances	2012-01-01	76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	50
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	51
Total of all active and inactive participants	2011-01-01	101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	101
Number of participants with account balances	2011-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2009: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	76
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	80
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	44
Total of all active and inactive participants	2009-01-01	124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	124
Number of participants with account balances	2009-01-01	107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2

Financial Data on WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

Measure	Date	Value
2018 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$-423,199
Expenses. Total of all expenses incurred	2018-12-31	$582,519
Benefits paid (including direct rollovers)	2018-12-31	$556,696
Total plan assets at end of year	2018-12-31	$9,145,261
Total plan assets at beginning of year	2018-12-31	$10,150,979
Value of fidelity bond covering the plan	2018-12-31	$1,000,000
Total contributions received or receivable from participants	2018-12-31	$260,532
Other income received	2018-12-31	$-683,731
Net income (gross income less expenses)	2018-12-31	$-1,005,718
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$9,145,261
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$10,150,979
Assets. Value of participant loans	2018-12-31	$75,191
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$25,823
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$1,967,564
Expenses. Total of all expenses incurred	2017-12-31	$889,008
Benefits paid (including direct rollovers)	2017-12-31	$865,006
Total plan assets at end of year	2017-12-31	$10,150,979
Total plan assets at beginning of year	2017-12-31	$9,072,423
Value of fidelity bond covering the plan	2017-12-31	$1,000,000
Total contributions received or receivable from participants	2017-12-31	$225,957
Other income received	2017-12-31	$1,741,607
Net income (gross income less expenses)	2017-12-31	$1,078,556
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$10,150,979
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$9,072,423
Assets. Value of participant loans	2017-12-31	$94,757
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$24,002
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$978,316
Expenses. Total of all expenses incurred	2016-12-31	$315,942
Benefits paid (including direct rollovers)	2016-12-31	$294,007
Total plan assets at end of year	2016-12-31	$9,072,423
Total plan assets at beginning of year	2016-12-31	$8,410,049
Value of fidelity bond covering the plan	2016-12-31	$1,000,000
Total contributions received or receivable from participants	2016-12-31	$252,898
Other income received	2016-12-31	$725,418
Net income (gross income less expenses)	2016-12-31	$662,374
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$9,072,423
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$8,410,049
Assets. Value of participant loans	2016-12-31	$37,282
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$21,935
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$149,326
Expenses. Total of all expenses incurred	2015-12-31	$1,195,289
Benefits paid (including direct rollovers)	2015-12-31	$1,174,451
Total plan assets at end of year	2015-12-31	$8,410,049
Total plan assets at beginning of year	2015-12-31	$9,456,012
Value of fidelity bond covering the plan	2015-12-31	$1,000,000
Total contributions received or receivable from participants	2015-12-31	$268,316
Contributions received from other sources (not participants or employers)	2015-12-31	$359
Other income received	2015-12-31	$-119,349
Net income (gross income less expenses)	2015-12-31	$-1,045,963
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$8,410,049
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$9,456,012
Assets. Value of participant loans	2015-12-31	$81,654
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$20,838
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$668,423
Expenses. Total of all expenses incurred	2014-12-31	$628,526
Benefits paid (including direct rollovers)	2014-12-31	$604,360
Total plan assets at end of year	2014-12-31	$9,456,012
Total plan assets at beginning of year	2014-12-31	$9,416,115
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Total contributions received or receivable from participants	2014-12-31	$247,234
Other income received	2014-12-31	$421,189
Net income (gross income less expenses)	2014-12-31	$39,897
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$9,456,012
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$9,416,115
Assets. Value of participant loans	2014-12-31	$80,574
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$854
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$23,312
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$2,384,980
Expenses. Total of all expenses incurred	2013-12-31	$1,388,088
Benefits paid (including direct rollovers)	2013-12-31	$1,334,472
Total plan assets at end of year	2013-12-31	$9,416,115
Total plan assets at beginning of year	2013-12-31	$8,419,223
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Total contributions received or receivable from participants	2013-12-31	$225,194
Other income received	2013-12-31	$2,159,786
Net income (gross income less expenses)	2013-12-31	$996,892
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$9,416,115
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$8,419,223
Assets. Value of participant loans	2013-12-31	$82,653
Value of corrective distributions	2013-12-31	$26,160
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$27,456
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$1,443,428
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,417,249
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,356,913
Value of total corrective distributions	2012-12-31	$20,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$390,607
Value of total assets at end of year	2012-12-31	$8,419,223
Value of total assets at beginning of year	2012-12-31	$8,393,044
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$40,336
Total interest from all sources	2012-12-31	$20,120
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$102,143
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$102,143
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$247,629
Participant contributions at end of year	2012-12-31	$62,623
Participant contributions at beginning of year	2012-12-31	$117,013
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$269,258
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$142,978
Other income not declared elsewhere	2012-12-31	$40,731
Administrative expenses (other) incurred	2012-12-31	$40,336
Total non interest bearing cash at end of year	2012-12-31	$0
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$26,179
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$8,419,223
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$8,393,044
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$7,369,770
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,523,036
Interest on participant loans	2012-12-31	$3,264
Interest earned on other investments	2012-12-31	$16,856
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$717,572
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$752,995
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$889,827
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,356,913
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	ROTHSTEIN KASS & COMPANY
Accountancy firm EIN	2012-12-31	222131009
2011 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$417,402
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,304,690
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,285,704
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$771,971
Value of total assets at end of year	2011-12-31	$8,393,044
Value of total assets at beginning of year	2011-12-31	$9,280,332
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$18,986
Total interest from all sources	2011-12-31	$21,114
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$110,656
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$110,656
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$490,041
Participant contributions at end of year	2011-12-31	$117,013
Participant contributions at beginning of year	2011-12-31	$138,636
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$121,892
Other income not declared elsewhere	2011-12-31	$16,757
Administrative expenses (other) incurred	2011-12-31	$18,986
Total non interest bearing cash at end of year	2011-12-31	$0
Total non interest bearing cash at beginning of year	2011-12-31	$241
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-887,288
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$8,393,044
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$9,280,332
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$7,523,036
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$8,350,246
Interest on participant loans	2011-12-31	$4,548
Interest earned on other investments	2011-12-31	$16,566
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$752,995
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$791,209
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-503,096
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$160,038
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,285,704
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	ROTHSTEIN KASS & COMPANY
Accountancy firm EIN	2011-12-31	222131009
2010 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,013,165
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$479,634
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$478,617
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$963,937
Value of total assets at end of year	2010-12-31	$9,280,332
Value of total assets at beginning of year	2010-12-31	$7,746,801
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,017
Total interest from all sources	2010-12-31	$23,309
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$117,177
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$117,177
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$684,507
Participant contributions at end of year	2010-12-31	$138,636
Participant contributions at beginning of year	2010-12-31	$141,064
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$35,572
Other income not declared elsewhere	2010-12-31	$240
Administrative expenses (other) incurred	2010-12-31	$1,017
Total non interest bearing cash at end of year	2010-12-31	$241
Total non interest bearing cash at beginning of year	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,533,531
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$9,280,332
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$7,746,801
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$8,350,246
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$6,873,670
Interest on participant loans	2010-12-31	$5,447
Interest earned on other investments	2010-12-31	$17,862
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$791,209
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$732,067
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$908,502
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$243,858
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$478,617
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	ROTHSTEIN KASS & COMPANY
Accountancy firm EIN	2010-12-31	222131009
2009 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

2018: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	Yes
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

040381

Policy instance

Insurance contract or identification number	040381
Number of Individuals Covered	58
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

040381

Policy instance

Insurance contract or identification number	040381
Number of Individuals Covered	64
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

040381

Policy instance

Insurance contract or identification number	040381
Number of Individuals Covered	80
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

040381

Policy instance

Insurance contract or identification number	040381
Number of Individuals Covered	75
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

40381

Policy instance

Insurance contract or identification number	40381
Number of Individuals Covered	98
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

40381

Policy instance

Insurance contract or identification number	40381
Number of Individuals Covered	97
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

40381

Policy instance

Insurance contract or identification number	40381
Number of Individuals Covered	101
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $489
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

40381

Policy instance

Insurance contract or identification number	40381
Number of Individuals Covered	124
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,342
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1342
Additional information about fees paid to insurance broker	SERVICES TO INSURER OR PLAN
Insurance broker organization code?	4
Insurance broker name	NRP FINANCIAL, INC.

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Company Name:	WALL STREET ACCESS
Employer identification number (EIN):	133057481
NAIC Classification:	523120
NAIC Description:	Securities Brokerage