401k Plan data: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN plan

FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 401k Plan overview

Plan Name	FIRST NEW YORK SECURITIES L.L.C. LTD PLAN
Plan identification number	503

FIRST NEW YORK SECURITIES L.L.C. LTD PLAN Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Long-term disability cover

401k Sponsoring company profile

FIRST NEW YORK SECURITIES LLC has sponsored the creation of one or more 401k plans.

Company Name: FIRST NEW YORK SECURITIES LLC

Employer identification number (EIN): 133270745

NAIC Classification: 525990
NAIC Description: Other Financial Vehicles

Additional information about FIRST NEW YORK SECURITIES LLC

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1995-06-20

Company Identification Number: 1932556

Legal Registered Office Address: ATTN: GENERAL COUNSEL
90 PARK AVENUE, 5TH FL
NEW YORK
United States of America (USA)
10016

More information about FIRST NEW YORK SECURITIES LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST NEW YORK SECURITIES L.L.C. LTD PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
503 2014-01-01 DONNA ERRIGO
503 2013-01-01 DONNA SABATINI
503 2012-01-01 HARRIS SUFIAN
503 2011-01-01 HARRIS SUFIAN
503 2010-01-01 HARRIS SUFIAN
503 2009-01-01 HARRIS SUFIAN

Plan id#	Filing Submission Date	Name of Administrator
503	2014-01-01	DONNA ERRIGO
503	2013-01-01	DONNA SABATINI
503	2012-01-01	HARRIS SUFIAN
503	2011-01-01	HARRIS SUFIAN
503	2010-01-01	HARRIS SUFIAN
503	2009-01-01	HARRIS SUFIAN

Plan Statistics for FIRST NEW YORK SECURITIES L.L.C. LTD PLAN

401k plan membership statisitcs for FIRST NEW YORK SECURITIES L.L.C. LTD PLAN

Measure Date Value
2014: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 173
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Total participants 2014-01-01 0
2013: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 320
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 173
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 0
Total of all active and inactive participants 2013-01-01 173
Total participants 2013-01-01 173
2012: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 320
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 320
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 2012-01-01 320
Total participants 2012-01-01 320
2011: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 320
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 320
Number of retired or separated participants receiving benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 320
Total participants 2011-01-01 320
2010: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 290
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 290
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 290
Total participants 2010-01-01 290
2009: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 238
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 238
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 2009-01-01 238
Total participants 2009-01-01 238

Measure	Date	Value
2014: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	173
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Total participants	2014-01-01	0
2013: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	320
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	173
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	0
Total of all active and inactive participants	2013-01-01	173
Total participants	2013-01-01	173
2012: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	320
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	320
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	320
Total participants	2012-01-01	320
2011: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	320
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	320
Number of retired or separated participants receiving benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	320
Total participants	2011-01-01	320
2010: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	290
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	290
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	290
Total participants	2010-01-01	290
2009: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	238
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	238
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	238
Total participants	2009-01-01	238

Form 5500 Responses for FIRST NEW YORK SECURITIES L.L.C. LTD PLAN

2014: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2013: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2012: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2011: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2010: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2009: FIRST NEW YORK SECURITIES L.L.C. LTD PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

CIGNA GROUP INSURANCE (National Association of Insurance Commissioners NAIC id number: 64548 )

Policy contract number

BNK960084

Policy instance

Insurance contract or identification number	BNK960084
Number of Individuals Covered	176
Insurance policy start date	2013-12-01
Insurance policy end date	2014-11-30
Total amount of commissions paid to insurance broker	USD $4,566
Total amount of fees paid to insurance company	USD $2,977
Long Term Disability Insurance Welfare Benefit	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,566
Amount paid for insurance broker fees	2977
Additional information about fees paid to insurance broker	SERVICE & OVERRIDES
Insurance broker organization code?	3
Insurance broker name	BENEFITMALL

CIGNA GROUP INSURANCE (National Association of Insurance Commissioners NAIC id number: 64548 )

Policy contract number

BNK960084

Policy instance

Insurance contract or identification number	BNK960084
Number of Individuals Covered	173
Insurance policy start date	2012-12-01
Insurance policy end date	2013-11-30
Total amount of commissions paid to insurance broker	USD $4,708
Total amount of fees paid to insurance company	USD $5,287
Long Term Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $70,750
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,708
Amount paid for insurance broker fees	5287
Additional information about fees paid to insurance broker	SERVICE & OVERRIDES
Insurance broker organization code?	3
Insurance broker name	BENEFITMALL

CIGNA GROUP INSURANCE (National Association of Insurance Commissioners NAIC id number: 64548 )

Policy contract number

BNK960084

Policy instance

Insurance contract or identification number	BNK960084
Number of Individuals Covered	320
Insurance policy start date	2011-12-01
Insurance policy end date	2012-11-30
Total amount of commissions paid to insurance broker	USD $5,014
Total amount of fees paid to insurance company	USD $7,861
Long Term Disability Insurance Welfare Benefit	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $5,014
Amount paid for insurance broker fees	7861
Additional information about fees paid to insurance broker	SERVICE & OVERRIDES
Insurance broker organization code?	3
Insurance broker name	BENEFITMALL

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

859632G

Policy instance

Insurance contract or identification number	859632G
Number of Individuals Covered	320
Insurance policy start date	2010-02-01
Insurance policy end date	2011-01-31
Total amount of commissions paid to insurance broker	USD $13,106
Total amount of fees paid to insurance company	USD $2,619
Long Term Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $140,761
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

859632G

Policy instance

Insurance contract or identification number	859632G
Number of Individuals Covered	290
Insurance policy start date	2009-02-01
Insurance policy end date	2010-01-31
Total amount of commissions paid to insurance broker	USD $10,427
Long Term Disability Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $80,810
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $10,427
Insurance broker organization code?	3
Insurance broker name	CENTERSTONE INS. & FINANCIAL

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Company Name:	FIRST NEW YORK SECURITIES LLC
Employer identification number (EIN):	133270745
NAIC Classification:	525990
NAIC Description:	Other Financial Vehicles

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1995-06-20
Company Identification Number:	1932556
Legal Registered Office Address:	ATTN: GENERAL COUNSEL 90 PARK AVENUE, 5TH FL NEW YORK United States of America (USA) 10016