401k Plan data: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN plan

JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN
Plan identification number	001

JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan 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

CAREY JAMES & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.

Company Name: CAREY JAMES & ASSOCIATES, INC.

Employer identification number (EIN): 820549642

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 DIANE JAMES 2024-10-15
001 2022-01-01 DIANE JAMES 2023-10-16
001 2021-01-01
001 2020-01-01 CAREY A. JAMES 2021-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2023-01-01	DIANE JAMES	2024-10-15
001	2022-01-01	DIANE JAMES	2023-10-16
001	2021-01-01
001	2020-01-01	CAREY A. JAMES	2021-10-15

Plan Statistics for JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

Measure Date Value
2023: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 3
Number of retired or separated participants receiving benefits 2023-01-01 1
Number of other retired or separated participants entitled to future benefits 2023-01-01 1
Total of all active and inactive participants 2023-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 5
Number of participants with account balances 2023-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 2
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 3
Total of all active and inactive participants 2022-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 5
Number of participants with account balances 2022-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 2
Number of other retired or separated participants entitled to future benefits 2021-01-01 3
Total of all active and inactive participants 2021-01-01 5
Total participants 2021-01-01 5
Number of participants with account balances 2021-01-01 5
2020: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 2
Number of other retired or separated participants entitled to future benefits 2020-01-01 3
Total of all active and inactive participants 2020-01-01 5
Total participants 2020-01-01 5
Number of participants with account balances 2020-01-01 5

Measure	Date	Value
2023: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	3
Number of retired or separated participants receiving benefits	2023-01-01	1
Number of other retired or separated participants entitled to future benefits	2023-01-01	1
Total of all active and inactive participants	2023-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	5
Number of participants with account balances	2023-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	2
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	3
Total of all active and inactive participants	2022-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	5
Number of participants with account balances	2022-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	2
Number of other retired or separated participants entitled to future benefits	2021-01-01	3
Total of all active and inactive participants	2021-01-01	5
Total participants	2021-01-01	5
Number of participants with account balances	2021-01-01	5
2020: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	2
Number of other retired or separated participants entitled to future benefits	2020-01-01	3
Total of all active and inactive participants	2020-01-01	5
Total participants	2020-01-01	5
Number of participants with account balances	2020-01-01	5

Financial Data on JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2023 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2023 401k financial data
Total plan liabilities at end of year	2023-12-31	$197,034
Total plan liabilities at beginning of year	2023-12-31	$229,006
Total income from all sources	2023-12-31	$528,979
Expenses. Total of all expenses incurred	2023-12-31	$30,142
Total plan assets at end of year	2023-12-31	$1,066,975
Total plan assets at beginning of year	2023-12-31	$600,110
Value of fidelity bond covering the plan	2023-12-31	$500,000
Total contributions received or receivable from participants	2023-12-31	$20,058
Expenses. Other expenses not covered elsewhere	2023-12-31	$22,688
Other income received	2023-12-31	$504,351
Net income (gross income less expenses)	2023-12-31	$498,837
Net plan assets at end of year (total assets less liabilities)	2023-12-31	$869,941
Net plan assets at beginning of year (total assets less liabilities)	2023-12-31	$371,104
Assets. Value of real-estate (other than employer real property)	2023-12-31	$230,000
Total contributions received or receivable from employer(s)	2023-12-31	$4,570
Expenses. Administrative service providers (salaries,fees and commissions)	2023-12-31	$7,454
2022 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total plan liabilities at end of year	2022-12-31	$229,006
Total plan liabilities at beginning of year	2022-12-31	$229,006
Total income from all sources	2022-12-31	$-232,072
Total plan assets at end of year	2022-12-31	$600,110
Total plan assets at beginning of year	2022-12-31	$832,182
Value of fidelity bond covering the plan	2022-12-31	$550,000
Total contributions received or receivable from participants	2022-12-31	$30,646
Other income received	2022-12-31	$-262,718
Net income (gross income less expenses)	2022-12-31	$-232,072
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$371,104
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$603,176
Assets. Value of real-estate (other than employer real property)	2022-12-31	$230,000
2021 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total plan liabilities at end of year	2021-12-31	$229,006
Total plan liabilities at beginning of year	2021-12-31	$229,006
Total plan assets at end of year	2021-12-31	$832,182
Total plan assets at beginning of year	2021-12-31	$832,182
Value of fidelity bond covering the plan	2021-12-31	$550,000
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$603,176
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$603,176
Assets. Value of participant loans	2021-12-31	$39,855
Assets. Value of real-estate (other than employer real property)	2021-12-31	$230,000
2020 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total plan liabilities at end of year	2020-12-31	$229,006
Total plan liabilities at beginning of year	2020-12-31	$229,006
Total income from all sources	2020-12-31	$39,628
Total plan assets at end of year	2020-12-31	$832,182
Total plan assets at beginning of year	2020-12-31	$792,554
Value of fidelity bond covering the plan	2020-12-31	$550,000
Total contributions received or receivable from participants	2020-12-31	$13,500
Other income received	2020-12-31	$23,966
Net income (gross income less expenses)	2020-12-31	$39,628
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$603,176
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$563,548
Assets. Value of participant loans	2020-12-31	$39,855
Assets. Value of real-estate (other than employer real property)	2020-12-31	$230,000
Total contributions received or receivable from employer(s)	2020-12-31	$2,162

Form 5500 Responses for JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

2023: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CAREY JAMES & ASSOCIATES, INC.
Employer identification number (EIN):	820549642
NAIC Classification:	523900