401k Plan data: SMITH, WHILEY & COMPANY RETIREMENT PLAN plan

SMITH, WHILEY & COMPANY RETIREMENT PLAN 401k Plan overview

Plan Name	SMITH, WHILEY & COMPANY RETIREMENT PLAN
Plan identification number	001

SMITH, WHILEY & COMPANY RETIREMENT PLAN 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

SMITH, WHILEY & COMPANY has sponsored the creation of one or more 401k plans.

Company Name: SMITH, WHILEY & COMPANY

Employer identification number (EIN): 061377944

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

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMITH, WHILEY & COMPANY RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01 PRINCESS SMITH SALLY 2022-05-11
001 2020-01-01 PRINCESS SMITH SALLY 2021-07-26
001 2019-01-01 PRINCESS SMITH SALLY 2020-03-02
001 2018-01-01 GWENDOLYN SMITH ILOANI 2019-03-29
001 2017-01-01 GWENDOLYN SMITH ILOANI 2018-04-10
001 2016-01-01 GWENDOLYN SMITH ILOANI 2017-09-06
001 2015-01-01
001 2014-01-01 GWENDOLYN SMITH-ILOANI 2017-01-11
001 2014-01-01 GWENDOLYN SMITH-ILOANI 2015-10-14
001 2013-01-01 GWENDOLYN SMITH-ILOANI 2014-10-01 GWENDOLYN SMITH-ILOANI 2014-10-01
001 2012-01-01 GWENDOLYN SMITH-ILOANI 2013-08-26 GWENDOLYN SMITH-ILOANI 2013-08-26
001 2011-01-01 GWENDOLYN SMITH-ILOANI 2012-10-09 GWENDOLYN SMITH-ILOANI 2012-10-09
001 2010-01-01 GWENDOLYN SMITH-ILOANI 2011-09-08 GWENDOLYN SMITH-ILOANI 2011-09-08

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2021-01-01	PRINCESS SMITH SALLY	2022-05-11
001	2020-01-01	PRINCESS SMITH SALLY	2021-07-26
001	2019-01-01	PRINCESS SMITH SALLY	2020-03-02
001	2018-01-01	GWENDOLYN SMITH ILOANI	2019-03-29
001	2017-01-01	GWENDOLYN SMITH ILOANI	2018-04-10
001	2016-01-01	GWENDOLYN SMITH ILOANI	2017-09-06
001	2015-01-01
001	2014-01-01	GWENDOLYN SMITH-ILOANI	2017-01-11
001	2014-01-01	GWENDOLYN SMITH-ILOANI	2015-10-14
001	2013-01-01	GWENDOLYN SMITH-ILOANI	2014-10-01	GWENDOLYN SMITH-ILOANI	2014-10-01
001	2012-01-01	GWENDOLYN SMITH-ILOANI	2013-08-26	GWENDOLYN SMITH-ILOANI	2013-08-26
001	2011-01-01	GWENDOLYN SMITH-ILOANI	2012-10-09	GWENDOLYN SMITH-ILOANI	2012-10-09
001	2010-01-01	GWENDOLYN SMITH-ILOANI	2011-09-08	GWENDOLYN SMITH-ILOANI	2011-09-08

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Company Name:	SMITH, WHILEY & COMPANY
Employer identification number (EIN):	061377944
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing