Logo

BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 401k Plan overview

Plan NameBENJAMIN F. EDWARDS AND CO., INC. 401K PLAN
Plan identification number 001

BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN Benefits

401k Plan TypeDefined 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.
  • 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

BENJAMIN F. EDWARDS & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name:BENJAMIN F. EDWARDS & CO., INC.
Employer identification number (EIN):263472087
NAIC Classification:523120
NAIC Description:Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01THOMAS MARTIN THOMAS MARTIN2018-09-24
0012016-01-01THOMAS H MARTIN, JR THOMAS H MARTIN, JR2017-09-12
0012016-01-01 THOMAS H MARTIN, JR2017-09-12
0012015-01-01THOMAS H MARTIN, JR THOMAS H MARTIN, JR2016-10-03
0012014-01-01THOMAS H MARTIN, JR.
0012013-01-01THOMAS H MARTIN, JR
0012012-01-01THOMAS H MARTIN THOMAS H MARTIN2013-10-10
0012011-01-01THOMAS H MARTIN

Plan Statistics for BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN

401k plan membership statisitcs for BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN

Measure Date Value
2023: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01745
Total number of active participants reported on line 7a of the Form 55002023-01-01706
Number of retired or separated participants receiving benefits2023-01-010
Number of other retired or separated participants entitled to future benefits2023-01-0141
Total of all active and inactive participants2023-01-01747
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-010
Total participants2023-01-01747
Number of participants with account balances2023-01-01730
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-010
2022: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01684
Total number of active participants reported on line 7a of the Form 55002022-01-01701
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0130
Total of all active and inactive participants2022-01-01731
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01731
Number of participants with account balances2022-01-01713
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01649
Total number of active participants reported on line 7a of the Form 55002021-01-01647
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0130
Total of all active and inactive participants2021-01-01677
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01677
Number of participants with account balances2021-01-01655
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01615
Total number of active participants reported on line 7a of the Form 55002020-01-01616
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0127
Total of all active and inactive participants2020-01-01643
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01643
Number of participants with account balances2020-01-01614
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01589
Total number of active participants reported on line 7a of the Form 55002019-01-01591
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0118
Total of all active and inactive participants2019-01-01609
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01609
Number of participants with account balances2019-01-01560
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01539
Total number of active participants reported on line 7a of the Form 55002018-01-01579
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0110
Total of all active and inactive participants2018-01-01589
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01589
Number of participants with account balances2018-01-01536
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01490
Total number of active participants reported on line 7a of the Form 55002017-01-01521
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0114
Total of all active and inactive participants2017-01-01535
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01535
Number of participants with account balances2017-01-01404
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01439
Total number of active participants reported on line 7a of the Form 55002016-01-01474
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-019
Total of all active and inactive participants2016-01-01483
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01483
Number of participants with account balances2016-01-01364
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01420
Total number of active participants reported on line 7a of the Form 55002015-01-01430
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-019
Total of all active and inactive participants2015-01-01439
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01439
Number of participants with account balances2015-01-01313
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01347
Total number of active participants reported on line 7a of the Form 55002014-01-01411
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-019
Total of all active and inactive participants2014-01-01420
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01420
Number of participants with account balances2014-01-01283
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01259
Total number of active participants reported on line 7a of the Form 55002013-01-01339
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-018
Total of all active and inactive participants2013-01-01347
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01347
Number of participants with account balances2013-01-01222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01162
Total number of active participants reported on line 7a of the Form 55002012-01-01259
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-01259
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01259
Number of participants with account balances2012-01-01185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0129
Total number of active participants reported on line 7a of the Form 55002011-01-01160
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-012
Total of all active and inactive participants2011-01-01162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01162
Number of participants with account balances2011-01-01151
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010

Financial Data on BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN

Measure Date Value
2023 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$29,021,617
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$5,597,118
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$5,424,644
Value of total corrective distributions2023-12-31$3,241
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$15,640,687
Value of total assets at end of year2023-12-31$97,351,332
Value of total assets at beginning of year2023-12-31$73,926,833
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$169,233
Total interest from all sources2023-12-31$123,105
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$1,395,055
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$1,395,055
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$5,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$8,728,676
Participant contributions at end of year2023-12-31$1,152,919
Participant contributions at beginning of year2023-12-31$1,311,558
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$1,312,011
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$23,424,499
Value of net assets at end of year (total assets less liabilities)2023-12-31$97,351,332
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$73,926,833
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$85,796,226
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$64,988,500
Value of interest in pooled separate accounts at end of year2023-12-31$1,982,524
Value of interest in pooled separate accounts at beginning of year2023-12-31$2,491,453
Interest on participant loans2023-12-31$67,939
Interest earned on other investments2023-12-31$55,166
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2023-12-31$2,819,663
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2023-12-31$3,060,322
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$11,761,647
Net investment gain/loss from pooled separate accounts2023-12-31$101,123
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$5,600,000
Employer contributions (assets) at end of year2023-12-31$5,600,000
Employer contributions (assets) at beginning of year2023-12-31$2,075,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$5,424,644
Contract administrator fees2023-12-31$169,233
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31UHY LLP
Accountancy firm EIN2023-12-31200069440
2022 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-2,401,176
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$4,806,373
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$4,645,799
Value of total corrective distributions2022-12-31$1,438
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$11,201,099
Value of total assets at end of year2022-12-31$73,926,833
Value of total assets at beginning of year2022-12-31$81,134,382
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$159,136
Total interest from all sources2022-12-31$102,571
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$1,251,546
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$1,251,546
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$5,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$8,180,846
Participant contributions at end of year2022-12-31$1,311,558
Participant contributions at beginning of year2022-12-31$1,203,277
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$945,253
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-7,207,549
Value of net assets at end of year (total assets less liabilities)2022-12-31$73,926,833
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$81,134,382
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$64,988,500
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$73,439,131
Value of interest in pooled separate accounts at end of year2022-12-31$2,491,453
Value of interest in pooled separate accounts at beginning of year2022-12-31$1,922,530
Interest on participant loans2022-12-31$59,610
Interest earned on other investments2022-12-31$42,961
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$3,060,322
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$2,757,444
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-14,990,406
Net investment gain/loss from pooled separate accounts2022-12-31$34,014
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$2,075,000
Employer contributions (assets) at end of year2022-12-31$2,075,000
Employer contributions (assets) at beginning of year2022-12-31$1,812,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$4,645,799
Contract administrator fees2022-12-31$159,136
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31UHY LLP
Accountancy firm EIN2022-12-31200069440
2021 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$20,954,141
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$3,450,945
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$3,226,467
Value of total corrective distributions2021-12-31$5,097
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$11,169,523
Value of total assets at end of year2021-12-31$81,134,382
Value of total assets at beginning of year2021-12-31$63,631,186
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$219,381
Total interest from all sources2021-12-31$85,393
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$882,684
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$882,684
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$5,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$7,255,655
Participant contributions at end of year2021-12-31$1,203,277
Participant contributions at beginning of year2021-12-31$933,282
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$2,100,533
Other income not declared elsewhere2021-12-31$393
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$17,503,196
Value of net assets at end of year (total assets less liabilities)2021-12-31$81,134,382
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$63,631,186
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$73,439,131
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$58,910,725
Value of interest in pooled separate accounts at end of year2021-12-31$1,922,530
Value of interest in pooled separate accounts at beginning of year2021-12-31$798,235
Interest on participant loans2021-12-31$50,322
Interest earned on other investments2021-12-31$35,071
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$2,757,444
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$1,858,695
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$8,817,287
Net investment gain/loss from pooled separate accounts2021-12-31$-1,139
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$1,813,335
Employer contributions (assets) at end of year2021-12-31$1,812,000
Employer contributions (assets) at beginning of year2021-12-31$1,130,249
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$3,226,467
Contract administrator fees2021-12-31$219,381
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31UHY LLP
Accountancy firm EIN2021-12-31200069440
2020 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets2020-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$0
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$18,758,602
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$1,562,343
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$1,357,201
Expenses. Certain deemed distributions of participant loans2020-12-31$0
Value of total corrective distributions2020-12-31$1,288
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$9,029,914
Value of total assets at end of year2020-12-31$63,631,186
Value of total assets at beginning of year2020-12-31$46,434,927
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$203,854
Total income from rents2020-12-31$0
Total interest from all sources2020-12-31$70,329
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$678,137
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$678,137
Administrative expenses professional fees incurred2020-12-31$0
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$5,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Amount of non-exempt transactions with any party-in-interest2020-12-31$0
Contributions received from participants2020-12-31$6,238,979
Participant contributions at end of year2020-12-31$933,282
Participant contributions at beginning of year2020-12-31$719,440
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,660,686
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$0
Other income not declared elsewhere2020-12-31$0
Administrative expenses (other) incurred2020-12-31$0
Liabilities. Value of operating payables at beginning of year2020-12-31$0
Total non interest bearing cash at end of year2020-12-31$0
Total non interest bearing cash at beginning of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$17,196,259
Value of net assets at end of year (total assets less liabilities)2020-12-31$63,631,186
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$46,434,927
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2020-12-31$0
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2020-12-31$0
Investment advisory and management fees2020-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$58,910,725
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$41,516,433
Value of interest in pooled separate accounts at end of year2020-12-31$798,235
Value of interest in pooled separate accounts at beginning of year2020-12-31$485,714
Interest on participant loans2020-12-31$44,915
Income. Interest from loans (other than to participants)2020-12-31$0
Interest earned on other investments2020-12-31$25,414
Income. Interest from US Government securities2020-12-31$0
Income. Interest from corporate debt instruments2020-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$1,858,695
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$1,072,340
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$8,977,490
Net investment gain/loss from pooled separate accounts2020-12-31$2,732
Net investment gain or loss from common/collective trusts2020-12-31$0
Net gain/loss from 103.12 investment entities2020-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,130,249
Employer contributions (assets) at end of year2020-12-31$1,130,249
Employer contributions (assets) at beginning of year2020-12-31$2,641,000
Income. Dividends from preferred stock2020-12-31$0
Income. Dividends from common stock2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$1,357,201
Contract administrator fees2020-12-31$203,854
Liabilities. Value of benefit claims payable at beginning of year2020-12-31$0
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Aggregate proceeds on sale of assets2020-12-31$0
Aggregate carrying amount (costs) on sale of assets2020-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2020-12-31$0
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31UHY LLP
Accountancy firm EIN2020-12-31200069440
2019 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets2019-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets to this plan2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$17,093,194
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$2,423,694
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,238,959
Expenses. Certain deemed distributions of participant loans2019-12-31$0
Value of total corrective distributions2019-12-31$2,216
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$9,114,228
Value of total assets at end of year2019-12-31$46,434,927
Value of total assets at beginning of year2019-12-31$31,765,427
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$182,519
Total income from rents2019-12-31$0
Total interest from all sources2019-12-31$57,333
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$626,175
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$626,175
Administrative expenses professional fees incurred2019-12-31$0
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$5,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Amount of non-exempt transactions with any party-in-interest2019-12-31$0
Contributions received from participants2019-12-31$5,559,929
Participant contributions at end of year2019-12-31$719,440
Participant contributions at beginning of year2019-12-31$569,970
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$913,299
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$858
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$0
Other income not declared elsewhere2019-12-31$0
Administrative expenses (other) incurred2019-12-31$0
Liabilities. Value of operating payables at beginning of year2019-12-31$0
Total non interest bearing cash at end of year2019-12-31$0
Total non interest bearing cash at beginning of year2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$14,669,500
Value of net assets at end of year (total assets less liabilities)2019-12-31$46,434,927
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$31,765,427
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2019-12-31$0
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2019-12-31$0
Investment advisory and management fees2019-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$41,516,433
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$28,839,483
Value of interest in pooled separate accounts at end of year2019-12-31$485,714
Value of interest in pooled separate accounts at beginning of year2019-12-31$265,209
Interest on participant loans2019-12-31$40,223
Income. Interest from loans (other than to participants)2019-12-31$0
Interest earned on other investments2019-12-31$17,110
Income. Interest from US Government securities2019-12-31$0
Income. Interest from corporate debt instruments2019-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$1,072,340
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$876,640
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$7,287,200
Net investment gain/loss from pooled separate accounts2019-12-31$8,258
Net investment gain or loss from common/collective trusts2019-12-31$0
Net gain/loss from 103.12 investment entities2019-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$2,641,000
Employer contributions (assets) at end of year2019-12-31$2,641,000
Employer contributions (assets) at beginning of year2019-12-31$1,214,125
Income. Dividends from preferred stock2019-12-31$0
Income. Dividends from common stock2019-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,238,101
Contract administrator fees2019-12-31$182,519
Liabilities. Value of benefit claims payable at beginning of year2019-12-31$0
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$0
Aggregate carrying amount (costs) on sale of assets2019-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2019-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31UHY LLP
Accountancy firm EIN2019-12-31020069440
2018 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets2018-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$0
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$6,567,837
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,448,847
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,323,423
Expenses. Certain deemed distributions of participant loans2018-12-31$0
Value of total corrective distributions2018-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$8,506,331
Value of total assets at end of year2018-12-31$31,765,427
Value of total assets at beginning of year2018-12-31$26,646,437
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$125,424
Total income from rents2018-12-31$0
Total interest from all sources2018-12-31$42,777
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$448,046
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$448,046
Administrative expenses professional fees incurred2018-12-31$0
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$5,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Amount of non-exempt transactions with any party-in-interest2018-12-31$0
Contributions received from participants2018-12-31$4,888,725
Participant contributions at end of year2018-12-31$569,970
Participant contributions at beginning of year2018-12-31$501,671
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$2,403,481
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2018-12-31$9,347
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$0
Other income not declared elsewhere2018-12-31$604
Administrative expenses (other) incurred2018-12-31$0
Liabilities. Value of operating payables at beginning of year2018-12-31$0
Total non interest bearing cash at end of year2018-12-31$0
Total non interest bearing cash at beginning of year2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$5,118,990
Value of net assets at end of year (total assets less liabilities)2018-12-31$31,765,427
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$26,646,437
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2018-12-31$0
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2018-12-31$0
Investment advisory and management fees2018-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$28,839,483
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$24,379,510
Value of interest in pooled separate accounts at end of year2018-12-31$265,209
Value of interest in pooled separate accounts at beginning of year2018-12-31$372,821
Interest on participant loans2018-12-31$28,092
Income. Interest from loans (other than to participants)2018-12-31$0
Interest earned on other investments2018-12-31$14,685
Income. Interest from US Government securities2018-12-31$0
Income. Interest from corporate debt instruments2018-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$876,640
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$842,435
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-2,434,579
Net investment gain/loss from pooled separate accounts2018-12-31$4,658
Net investment gain or loss from common/collective trusts2018-12-31$0
Net gain/loss from 103.12 investment entities2018-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,214,125
Employer contributions (assets) at end of year2018-12-31$1,214,125
Employer contributions (assets) at beginning of year2018-12-31$550,000
Income. Dividends from preferred stock2018-12-31$0
Income. Dividends from common stock2018-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,314,076
Contract administrator fees2018-12-31$125,424
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$0
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$0
Aggregate carrying amount (costs) on sale of assets2018-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2018-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31UHY LLP
Accountancy firm EIN2018-12-31020069440
2017 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets2017-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$0
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Expenses. Interest paid2017-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022017-12-31$0
Total income from all sources (including contributions)2017-12-31$10,868,683
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,112,949
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$962,895
Expenses. Certain deemed distributions of participant loans2017-12-31$0
Value of total corrective distributions2017-12-31$791
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$6,968,101
Value of total assets at end of year2017-12-31$26,646,437
Value of total assets at beginning of year2017-12-31$16,890,703
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$149,263
Total income from rents2017-12-31$0
Total interest from all sources2017-12-31$48,029
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$335,022
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$335,022
Administrative expenses professional fees incurred2017-12-31$0
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$5,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Amount of non-exempt transactions with any party-in-interest2017-12-31$0
Contributions received from participants2017-12-31$4,013,180
Participant contributions at end of year2017-12-31$501,671
Participant contributions at beginning of year2017-12-31$286,954
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$2,404,921
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2017-12-31$840
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$0
Other income not declared elsewhere2017-12-31$16
Administrative expenses (other) incurred2017-12-31$0
Liabilities. Value of operating payables at beginning of year2017-12-31$0
Total non interest bearing cash at end of year2017-12-31$0
Total non interest bearing cash at beginning of year2017-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Income. Non cash contributions2017-12-31$0
Value of net income/loss2017-12-31$9,755,734
Value of net assets at end of year (total assets less liabilities)2017-12-31$26,646,437
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$16,890,703
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2017-12-31$0
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2017-12-31$0
Investment advisory and management fees2017-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$24,379,510
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$16,157,621
Value of interest in pooled separate accounts at end of year2017-12-31$372,821
Value of interest in pooled separate accounts at beginning of year2017-12-31$0
Interest on participant loans2017-12-31$20,123
Income. Interest from loans (other than to participants)2017-12-31$0
Interest earned on other investments2017-12-31$27,906
Income. Interest from US Government securities2017-12-31$0
Income. Interest from corporate debt instruments2017-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$842,435
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$446,128
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$3,514,357
Net investment gain/loss from pooled separate accounts2017-12-31$3,158
Net investment gain or loss from common/collective trusts2017-12-31$0
Net gain/loss from 103.12 investment entities2017-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$550,000
Employer contributions (assets) at end of year2017-12-31$550,000
Employer contributions (assets) at beginning of year2017-12-31$0
Income. Dividends from preferred stock2017-12-31$0
Income. Dividends from common stock2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$962,055
Contract administrator fees2017-12-31$149,263
Liabilities. Value of benefit claims payable at beginning of year2017-12-31$0
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$0
Aggregate carrying amount (costs) on sale of assets2017-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2017-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31UHY LLP
Accountancy firm EIN2017-12-31200694403
2016 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$5,283,058
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$729,749
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$673,060
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$3,784,663
Value of total assets at end of year2016-12-31$16,890,703
Value of total assets at beginning of year2016-12-31$12,337,394
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$56,689
Total interest from all sources2016-12-31$11,130
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$688,337
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$688,337
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$3,562,572
Participant contributions at end of year2016-12-31$286,954
Participant contributions at beginning of year2016-12-31$29,250
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$222,091
Administrative expenses (other) incurred2016-12-31$56,689
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$4,553,309
Value of net assets at end of year (total assets less liabilities)2016-12-31$16,890,703
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$12,337,394
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$16,157,621
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$11,972,199
Interest on participant loans2016-12-31$7,383
Interest earned on other investments2016-12-31$3,747
Value of interest in common/collective trusts at end of year2016-12-31$0
Value of interest in common/collective trusts at beginning of year2016-12-31$210,436
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$446,128
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$125,509
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$798,725
Net investment gain or loss from common/collective trusts2016-12-31$203
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$673,060
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31UHY LLP
Accountancy firm EIN2016-12-31200694403
2015 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$2,986,358
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$673,405
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$659,264
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,222,178
Value of total assets at end of year2015-12-31$12,337,394
Value of total assets at beginning of year2015-12-31$10,024,441
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$14,141
Total interest from all sources2015-12-31$700
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$789,374
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$789,374
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$3,220,357
Participant contributions at end of year2015-12-31$29,250
Participant contributions at beginning of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$1,821
Administrative expenses (other) incurred2015-12-31$14,141
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$2,312,953
Value of net assets at end of year (total assets less liabilities)2015-12-31$12,337,394
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$10,024,441
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$11,972,199
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$9,675,092
Interest on participant loans2015-12-31$98
Interest earned on other investments2015-12-31$602
Value of interest in common/collective trusts at end of year2015-12-31$210,436
Value of interest in common/collective trusts at beginning of year2015-12-31$349,349
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$125,509
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,027,248
Net investment gain or loss from common/collective trusts2015-12-31$1,354
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$659,264
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31UHY LLP
Accountancy firm EIN2015-12-31200694403
2014 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$3,388,831
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$120,823
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$111,738
Value of total corrective distributions2014-12-31$9,085
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,966,253
Value of total assets at end of year2014-12-31$10,024,441
Value of total assets at beginning of year2014-12-31$6,756,433
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$0
Total interest from all sources2014-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$621,506
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$621,506
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$2,743,361
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$222,892
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$3,268,008
Value of net assets at end of year (total assets less liabilities)2014-12-31$10,024,441
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$6,756,433
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$9,675,092
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$6,488,590
Value of interest in common/collective trusts at end of year2014-12-31$349,349
Value of interest in common/collective trusts at beginning of year2014-12-31$267,843
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-200,088
Net investment gain or loss from common/collective trusts2014-12-31$1,160
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$111,738
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31UHY LLP
Accountancy firm EIN2014-12-31200694403
2013 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$3,412,606
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$111,041
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$104,455
Value of total corrective distributions2013-12-31$6,586
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,454,889
Value of total assets at end of year2013-12-31$6,756,433
Value of total assets at beginning of year2013-12-31$3,454,868
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$0
Total interest from all sources2013-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$241,760
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$241,760
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Amount of non-exempt transactions with any party-in-interest2013-12-31$0
Contributions received from participants2013-12-31$2,010,656
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$444,233
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,301,565
Value of net assets at end of year (total assets less liabilities)2013-12-31$6,756,433
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$3,454,868
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$6,488,590
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$3,383,715
Value of interest in common/collective trusts at end of year2013-12-31$267,843
Value of interest in common/collective trusts at beginning of year2013-12-31$71,153
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$714,809
Net investment gain or loss from common/collective trusts2013-12-31$1,148
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$104,455
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31UHY LLP
Accountancy firm EIN2013-12-31200694403
2012 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$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$1,957,522
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$190,169
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$125,584
Value of total corrective distributions2012-12-31$64,585
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,645,730
Value of total assets at end of year2012-12-31$3,454,868
Value of total assets at beginning of year2012-12-31$1,687,515
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$0
Total interest from all sources2012-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$67,734
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$67,734
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,625,797
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$19,933
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,767,353
Value of net assets at end of year (total assets less liabilities)2012-12-31$3,454,868
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$1,687,515
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$3,383,715
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$1,669,834
Value of interest in common/collective trusts at end of year2012-12-31$71,153
Value of interest in common/collective trusts at beginning of year2012-12-31$17,681
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$243,552
Net investment gain or loss from common/collective trusts2012-12-31$506
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$125,584
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31UHY LLP
Accountancy firm EIN2012-12-31200694403
2011 : BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2011 401k financial data
Total income from all sources2011-12-31$1,687,515
Expenses. Total of all expenses incurred2011-12-31$0
Total plan assets at end of year2011-12-31$1,687,515
Total plan assets at beginning of year2011-12-31$0
Value of fidelity bond covering the plan2011-12-31$1,000,000
Total contributions received or receivable from participants2011-12-31$1,109,446
Contributions received from other sources (not participants or employers)2011-12-31$629,817
Other income received2011-12-31$-51,748
Net income (gross income less expenses)2011-12-31$1,687,515
Net plan assets at end of year (total assets less liabilities)2011-12-31$1,687,515
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$0

Form 5500 Responses for BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN

2023: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement – InsuranceYes
2023-01-01Plan benefit arrangement - TrustYes
2022: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: BENJAMIN F. EDWARDS AND CO., INC. 401K PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01First time form 5500 has been submittedYes
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464486
Policy instance 2
Insurance contract or identification number464486
Number of Individuals Covered747
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered747
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464486
Policy instance 2
Insurance contract or identification number464486
Number of Individuals Covered731
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered731
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464486
Policy instance 2
Insurance contract or identification number464486
Number of Individuals Covered677
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered677
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464486
Policy instance 2
Insurance contract or identification number464486
Number of Individuals Covered643
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered643
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464486
Policy instance 2
Insurance contract or identification number464486
Number of Individuals Covered609
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered609
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464486
Policy instance 2
Insurance contract or identification number464486
Number of Individuals Covered589
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered589
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number464486
Policy instance 2
Insurance contract or identification number464486
Number of Individuals Covered535
Insurance policy start date2017-04-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered535
Insurance policy start date2017-04-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?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

Copyright © Market Footprint Ltd
Contact us   Datalog Company Directory
401k Lookup     VAT Lookup S1