401k Plan data: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN plan

VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 401k Plan overview

Plan Name	VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN
Plan identification number	002

VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
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.

401k Sponsoring company profile

VAUGHAN & CO. SECURITIES, INC. has sponsored the creation of one or more 401k plans.

Company Name: VAUGHAN & CO. SECURITIES, INC.

Employer identification number (EIN): 222578806

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01
002 2022-01-01
002 2021-01-01

Plan Statistics for VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN

401k plan membership statisitcs for VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN

Measure Date Value
2023: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 5
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 1
Total of all active and inactive participants 2023-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 6
Number of participants with account balances 2023-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 6
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 0
Total of all active and inactive participants 2022-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 6
Number of participants with account balances 2022-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 6
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 0
Total of all active and inactive participants 2021-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 6
Number of participants with account balances 2021-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0

Measure	Date	Value
2023: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	5
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	1
Total of all active and inactive participants	2023-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	6
Number of participants with account balances	2023-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	6
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	0
Total of all active and inactive participants	2022-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	6
Number of participants with account balances	2022-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	6
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	0
Total of all active and inactive participants	2021-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	6
Number of participants with account balances	2021-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0

Financial Data on VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN

Measure	Date	Value
2023 : VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2023 401k financial data
Total plan liabilities at end of year	2023-12-31	$0
Total plan liabilities at beginning of year	2023-12-31	$0
Total income from all sources	2023-12-31	$512,841
Expenses. Total of all expenses incurred	2023-12-31	$242,821
Benefits paid (including direct rollovers)	2023-12-31	$242,821
Total plan assets at end of year	2023-12-31	$2,965,719
Total plan assets at beginning of year	2023-12-31	$2,695,699
Value of fidelity bond covering the plan	2023-12-31	$500,000
Total contributions received or receivable from participants	2023-12-31	$70,726
Contributions received from other sources (not participants or employers)	2023-12-31	$69,150
Other income received	2023-12-31	$337,227
Net income (gross income less expenses)	2023-12-31	$270,020
Net plan assets at end of year (total assets less liabilities)	2023-12-31	$2,965,719
Net plan assets at beginning of year (total assets less liabilities)	2023-12-31	$2,695,699
Assets. Value of participant loans	2023-12-31	$87,899
Total contributions received or receivable from employer(s)	2023-12-31	$35,738
2022 : VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2022 401k financial data
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$164,358
Expenses. Total of all expenses incurred	2022-12-31	$686,740
Benefits paid (including direct rollovers)	2022-12-31	$196,225
Total plan assets at end of year	2022-12-31	$2,695,699
Total plan assets at beginning of year	2022-12-31	$3,218,081
Value of fidelity bond covering the plan	2022-12-31	$500,000
Total contributions received or receivable from participants	2022-12-31	$40,904
Expenses. Other expenses not covered elsewhere	2022-12-31	$490,515
Contributions received from other sources (not participants or employers)	2022-12-31	$51,258
Net income (gross income less expenses)	2022-12-31	$-522,382
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$2,695,699
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$3,218,081
Assets. Value of participant loans	2022-12-31	$93,741
Total contributions received or receivable from employer(s)	2022-12-31	$72,196
2021 : VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2021 401k financial data
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$657,952
Expenses. Total of all expenses incurred	2021-12-31	$143,553
Benefits paid (including direct rollovers)	2021-12-31	$143,553
Total plan assets at end of year	2021-12-31	$3,218,081
Total plan assets at beginning of year	2021-12-31	$2,703,682
Value of fidelity bond covering the plan	2021-12-31	$500,000
Total contributions received or receivable from participants	2021-12-31	$76,374
Contributions received from other sources (not participants or employers)	2021-12-31	$42,544
Other income received	2021-12-31	$493,204
Net income (gross income less expenses)	2021-12-31	$514,399
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$3,218,081
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$2,703,682
Assets. Value of participant loans	2021-12-31	$130,052
Total contributions received or receivable from employer(s)	2021-12-31	$45,830

Form 5500 Responses for VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN

2023: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: VAUGHAN & CO. SECURITIES, INC. PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	Yes
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASS MUTUAL (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

INDIV CONTRACTS

Policy instance

Insurance contract or identification number	INDIV CONTRACTS
Number of Individuals Covered	1
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Are there contracts with allocated funds for individual policies?	1
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?	No
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

MASS MUTUAL (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

INDIV CONTRACTS

Policy instance

Insurance contract or identification number	INDIV CONTRACTS
Number of Individuals Covered	1
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
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?	1
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?	No
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

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	VAUGHAN & CO. SECURITIES, INC.
Employer identification number (EIN):	222578806
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services