401k Plan data: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN plan

MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 401k Plan overview

Plan Name	MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN
Plan identification number	001

MARK SHEPTOFF FINANCIAL PLANNING, LLC 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.

401k Sponsoring company profile

MARK SHEPTOFF FINANCIAL PLANNING, LLC has sponsored the creation of one or more 401k plans.

Company Name: MARK SHEPTOFF FINANCIAL PLANNING, LLC

Employer identification number (EIN): 061493649

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 MARK SHEPTOFF 2024-07-09
001 2022-01-01 MARK SHEPTOFF 2023-09-19
001 2021-01-01 MARK SHEPTOFF 2022-06-07
001 2020-01-01 MARK SHEPTOFF 2021-06-03
001 2019-01-01 MARK SHEPTOFF 2020-02-12
001 2018-01-01 MARK SHEPTOFF 2019-03-05
001 2017-01-01 MARK SHEPTOFF 2018-03-29
001 2016-01-01 MARK SHEPTOFF 2017-03-06
001 2015-01-01 MARK SHEPTOFF 2016-09-23
001 2014-01-01 MARK SHEPTOFF
001 2013-01-01 MARK SHEPTOFF
001 2012-01-01 MARK SHEPTOFF
001 2011-01-01 MARK SHEPTOFF
001 2009-01-01 MARK SHEPTOFF
001 2009-01-01 MARK SHEPTOFF
001 2009-01-01 MARK SHEPTOFF

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2023-01-01	MARK SHEPTOFF	2024-07-09
001	2022-01-01	MARK SHEPTOFF	2023-09-19
001	2021-01-01	MARK SHEPTOFF	2022-06-07
001	2020-01-01	MARK SHEPTOFF	2021-06-03
001	2019-01-01	MARK SHEPTOFF	2020-02-12
001	2018-01-01	MARK SHEPTOFF	2019-03-05
001	2017-01-01	MARK SHEPTOFF	2018-03-29
001	2016-01-01	MARK SHEPTOFF	2017-03-06
001	2015-01-01	MARK SHEPTOFF	2016-09-23
001	2014-01-01	MARK SHEPTOFF
001	2013-01-01	MARK SHEPTOFF
001	2012-01-01	MARK SHEPTOFF
001	2011-01-01	MARK SHEPTOFF
001	2009-01-01	MARK SHEPTOFF
001	2009-01-01	MARK SHEPTOFF
001	2009-01-01	MARK SHEPTOFF

Plan Statistics for MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN

401k plan membership statisitcs for MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN

Measure Date Value
2014: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 2
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 1
Total of all active and inactive participants 2014-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 3
Number of participants with account balances 2014-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 1
Total of all active and inactive participants 2013-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 2
Number of participants with account balances 2013-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 2
Number of participants with account balances 2012-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 2
Number of participants with account balances 2011-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 2
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2
Number of participants with account balances 2009-01-01 2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	2
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	1
Total of all active and inactive participants	2014-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	3
Number of participants with account balances	2014-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	1
Total of all active and inactive participants	2013-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	2
Number of participants with account balances	2013-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	2
Number of participants with account balances	2012-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	2
Number of participants with account balances	2011-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	2
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	2
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2
Number of participants with account balances	2009-01-01	2
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN

Measure	Date	Value
2014 : MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$68,745
Expenses. Total of all expenses incurred	2014-12-31	$0
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$486,092
Total plan assets at beginning of year	2014-12-31	$417,347
Value of fidelity bond covering the plan	2014-12-31	$50,000
Total contributions received or receivable from participants	2014-12-31	$23,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$9,414
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$68,745
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$486,092
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$417,347
Total contributions received or receivable from employer(s)	2014-12-31	$36,331
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0
2013 : MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$108,460
Expenses. Total of all expenses incurred	2013-12-31	$0
Benefits paid (including direct rollovers)	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$417,347
Total plan assets at beginning of year	2013-12-31	$308,887
Value of fidelity bond covering the plan	2013-12-31	$50,000
Total contributions received or receivable from participants	2013-12-31	$25,960
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$54,684
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$108,460
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$417,347
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$308,887
Total contributions received or receivable from employer(s)	2013-12-31	$27,816
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
2012 : MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$0
Total income from all sources	2012-12-31	$66,977
Expenses. Total of all expenses incurred	2012-12-31	$0
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$308,887
Total plan assets at beginning of year	2012-12-31	$241,910
Value of fidelity bond covering the plan	2012-12-31	$50,000
Total contributions received or receivable from participants	2012-12-31	$22,145
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$3,033
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$66,977
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$308,887
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$241,910
Total contributions received or receivable from employer(s)	2012-12-31	$41,799
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
2011 : MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$75,284
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$265,209
Total plan assets at beginning of year	2011-12-31	$189,925
Value of fidelity bond covering the plan	2011-12-31	$50,000
Total contributions received or receivable from participants	2011-12-31	$24,500
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-4,670
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$75,284
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$265,209
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$189,925
Total contributions received or receivable from employer(s)	2011-12-31	$55,454
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$71,926
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$189,925
Total plan assets at beginning of year	2010-12-31	$117,999
Value of fidelity bond covering the plan	2010-12-31	$50,000
Total contributions received or receivable from participants	2010-12-31	$10,000
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$9,869
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$71,926
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$189,925
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$117,999
Total contributions received or receivable from employer(s)	2010-12-31	$52,057
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0

Form 5500 Responses for MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN

2014: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: MARK SHEPTOFF FINANCIAL PLANNING, LLC RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MARK SHEPTOFF FINANCIAL PLANNING, LLC
Employer identification number (EIN):	061493649
NAIC Classification:	523900