401k Plan data: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN plan

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN
Plan identification number	001

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. has sponsored the creation of one or more 401k plans.

Company Name: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

Employer identification number (EIN): 133867844

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 CHRISTOPHER LAVAGNINO
001 2012-01-01 CHRISTOPHER LAVAGNINO
001 2011-01-01 MELISSA FRANZEN
001 2009-01-01 MELISSA FRANZEN
001 2006-01-01 MELISSA FRANZEN

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	CHRISTOPHER LAVAGNINO
001	2012-01-01	CHRISTOPHER LAVAGNINO
001	2011-01-01	MELISSA FRANZEN
001	2009-01-01	MELISSA FRANZEN
001	2006-01-01	MELISSA FRANZEN

Plan Statistics for CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN

401k plan membership statisitcs for CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN

Measure Date Value
2013: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 79
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 20
Number of other retired or separated participants entitled to future benefits 2013-01-01 45
Total of all active and inactive participants 2013-01-01 65
Total participants 2013-01-01 65
Number of participants with account balances 2013-01-01 60
2012: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 79
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 46
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 32
Total of all active and inactive participants 2012-01-01 78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 79
Number of participants with account balances 2012-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 78
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 48
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 30
Total of all active and inactive participants 2011-01-01 78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 79
Number of participants with account balances 2011-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 82
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 50
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 28
Total of all active and inactive participants 2009-01-01 78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 79
Number of participants with account balances 2009-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0
2006: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2006 401k membership
Total participants, beginning-of-year 2006-01-01 77
Total number of active participants reported on line 7a of the Form 5500 2006-01-01 36
Number of retired or separated participants receiving benefits 2006-01-01 0
Number of other retired or separated participants entitled to future benefits 2006-01-01 37
Total of all active and inactive participants 2006-01-01 73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2006-01-01 0
Total participants 2006-01-01 73
Number of participants with account balances 2006-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2006-01-01 0
Number of employers contributing to the scheme 2006-01-01 0

Measure	Date	Value
2013: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	79
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	20
Number of other retired or separated participants entitled to future benefits	2013-01-01	45
Total of all active and inactive participants	2013-01-01	65
Total participants	2013-01-01	65
Number of participants with account balances	2013-01-01	60
2012: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	79
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	46
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	32
Total of all active and inactive participants	2012-01-01	78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	79
Number of participants with account balances	2012-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	78
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	48
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	30
Total of all active and inactive participants	2011-01-01	78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	79
Number of participants with account balances	2011-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	82
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	50
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	28
Total of all active and inactive participants	2009-01-01	78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	79
Number of participants with account balances	2009-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0
2006: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2006 401k membership
Total participants, beginning-of-year	2006-01-01	77
Total number of active participants reported on line 7a of the Form 5500	2006-01-01	36
Number of retired or separated participants receiving benefits	2006-01-01	0
Number of other retired or separated participants entitled to future benefits	2006-01-01	37
Total of all active and inactive participants	2006-01-01	73
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2006-01-01	0
Total participants	2006-01-01	73
Number of participants with account balances	2006-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2006-01-01	0
Number of employers contributing to the scheme	2006-01-01	0

Financial Data on CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN

Measure	Date	Value
2013 : CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$1,543,096
Expenses. Total of all expenses incurred	2013-12-31	$1,739,420
Benefits paid (including direct rollovers)	2013-12-31	$1,739,340
Total plan assets at end of year	2013-12-31	$5,990,098
Total plan assets at beginning of year	2013-12-31	$6,186,422
Value of fidelity bond covering the plan	2013-12-31	$2,750,000
Total contributions received or receivable from participants	2013-12-31	$215,174
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$21,437
Other income received	2013-12-31	$1,157,064
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$-196,324
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$5,990,098
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$6,186,422
Assets. Value of participant loans	2013-12-31	$63,457
Total contributions received or receivable from employer(s)	2013-12-31	$149,421
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$80
2012 : CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$823,788
Expenses. Total of all expenses incurred	2012-12-31	$870,586
Benefits paid (including direct rollovers)	2012-12-31	$870,058
Total plan assets at end of year	2012-12-31	$6,186,422
Total plan assets at beginning of year	2012-12-31	$6,233,220
Value of fidelity bond covering the plan	2012-12-31	$2,750,000
Other income received	2012-12-31	$823,788
Net income (gross income less expenses)	2012-12-31	$-46,798
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$6,186,422
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$6,233,220
Assets. Value of participant loans	2012-12-31	$86,750
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$528
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$670,970
Expenses. Total of all expenses incurred	2011-12-31	$609,863
Benefits paid (including direct rollovers)	2011-12-31	$609,834
Total plan assets at end of year	2011-12-31	$6,233,220
Total plan assets at beginning of year	2011-12-31	$6,172,113
Value of fidelity bond covering the plan	2011-12-31	$2,750,000
Total contributions received or receivable from participants	2011-12-31	$485,359
Contributions received from other sources (not participants or employers)	2011-12-31	$136
Other income received	2011-12-31	$-339,198
Net income (gross income less expenses)	2011-12-31	$61,107
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$6,233,220
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$6,172,113
Assets. Value of participant loans	2011-12-31	$17,792
Total contributions received or receivable from employer(s)	2011-12-31	$524,673
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$29
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$1,691,905
Expenses. Total of all expenses incurred	2010-12-31	$458,355
Benefits paid (including direct rollovers)	2010-12-31	$457,737
Total plan assets at end of year	2010-12-31	$6,172,113
Total plan assets at beginning of year	2010-12-31	$4,938,563
Value of fidelity bond covering the plan	2010-12-31	$2,750,000
Total contributions received or receivable from participants	2010-12-31	$477,870
Contributions received from other sources (not participants or employers)	2010-12-31	$198,450
Other income received	2010-12-31	$704,209
Net income (gross income less expenses)	2010-12-31	$1,233,550
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$6,172,113
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$4,938,563
Assets. Value of participant loans	2010-12-31	$26,328
Total contributions received or receivable from employer(s)	2010-12-31	$311,376
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$618
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS 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
2006 : CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2006 401k financial data
Total income from all sources	2006-12-31	$1,358,413
Expenses. Total of all expenses incurred	2006-12-31	$746,691
Benefits paid (including direct rollovers)	2006-12-31	$743,466
Total plan assets at end of year	2006-12-31	$5,084,833
Total plan assets at beginning of year	2006-12-31	$4,473,111
Value of fidelity bond covering the plan	2006-12-31	$2,750,000
Total contributions received or receivable from participants	2006-12-31	$445,598
Other income received	2006-12-31	$693,700
Net income (gross income less expenses)	2006-12-31	$611,722
Net plan assets at end of year (total assets less liabilities)	2006-12-31	$5,084,833
Net plan assets at beginning of year (total assets less liabilities)	2006-12-31	$4,473,111
Total contributions received or receivable from employer(s)	2006-12-31	$219,115
Expenses. Administrative service providers (salaries,fees and commissions)	2006-12-31	$3,225
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2006-12-31	$0

Form 5500 Responses for CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN

2013: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS 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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS 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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2006: CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. 401(K) SAVINGS PLAN 2006 form 5500 responses
2006-01-01	Type of plan entity	Single employer plan
2006-01-01	Submission has been amended	No
2006-01-01	This submission is the final filing	No
2006-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2006-01-01	Plan is a collectively bargained plan	No
2006-01-01	Plan funding arrangement – Trust	Yes
2006-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
Employer identification number (EIN):	133867844
NAIC Classification:	523120
NAIC Description:	Securities Brokerage