401k Plan data: ICM 401(K) PLAN & TRUST plan

ICM 401(K) PLAN & TRUST 401k Plan overview

Plan Name	ICM 401(K) PLAN & TRUST
Plan identification number	001

ICM 401(K) PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan 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.

401k Sponsoring company profile

INVESTORS CAPITAL MANAGEMENT, LLC has sponsored the creation of one or more 401k plans.

Company Name: INVESTORS CAPITAL MANAGEMENT, LLC

Employer identification number (EIN): 760817149

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about INVESTORS CAPITAL MANAGEMENT, LLC

Jurisdiction of Incorporation: California Department of State

Incorporation Date:

Company Identification Number: 200606710261

More information about INVESTORS CAPITAL MANAGEMENT, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ICM 401(K) PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 JULIE SCHATZ 2024-06-06
001 2022-01-01 JULIE SCHATZ 2023-09-12
001 2021-01-01 JULIE SCHATZ 2022-10-05
001 2020-01-01 JULIE SCHATZ 2021-07-01
001 2019-01-01 JULIE SCHATZ 2020-07-27
001 2018-01-01 JULIE SCHATZ 2019-10-14
001 2017-01-01 JULIE SCHATZ 2018-07-13
001 2016-01-01 JULIE SCHATZ 2017-09-26
001 2015-01-01 JULIE SCHATZ 2016-08-01
001 2013-01-01 JULIE SCHATZ 2014-09-04
001 2012-01-01 JULIE SCHATZ 2013-10-14
001 2011-01-01 JULIE SCHATZ 2012-07-24

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2023-01-01	JULIE SCHATZ	2024-06-06
001	2022-01-01	JULIE SCHATZ	2023-09-12
001	2021-01-01	JULIE SCHATZ	2022-10-05
001	2020-01-01	JULIE SCHATZ	2021-07-01
001	2019-01-01	JULIE SCHATZ	2020-07-27
001	2018-01-01	JULIE SCHATZ	2019-10-14
001	2017-01-01	JULIE SCHATZ	2018-07-13
001	2016-01-01	JULIE SCHATZ	2017-09-26
001	2015-01-01	JULIE SCHATZ	2016-08-01
001	2013-01-01	JULIE SCHATZ	2014-09-04
001	2012-01-01	JULIE SCHATZ	2013-10-14
001	2011-01-01	JULIE SCHATZ	2012-07-24

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Company Name:	INVESTORS CAPITAL MANAGEMENT, LLC
Employer identification number (EIN):	760817149
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:
Company Identification Number:	200606710261