401k Plan data: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN plan

ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

ICBC STANDARD SECURITIES, INC. 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

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

Company Name: STANDARD NEW YORK SECURITIES

Employer identification number (EIN): 133740731

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ICBC STANDARD SECURITIES, INC. 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 SUZANNE SOLEIMANI 2024-06-27
001 2022-01-01 SUZANNE SOLEIMANI 2023-07-11
001 2021-01-01 SUZANNE SOLEIMANI 2022-10-04
001 2020-01-01 KRISTEN KAESSLER 2021-09-28
001 2019-01-01 KRISTEN KAESSLER 2020-09-23
001 2018-01-01
001 2017-01-01 KRISTEN KAESSLER
001 2016-01-01 KRISTEN KAESSLER
001 2016-01-01 KRISTEN KAESSLER
001 2015-01-01 ALBERT MAARTENS ALBERT MAARTENS 2016-10-05
001 2014-01-01 ALBERT MAARTENS ALBERT MAARTENS 2015-09-30
001 2013-01-01 ALBERTUS MAARTENS ALBERTUS MAARTENS 2014-10-03
001 2012-01-01 ALBERTUS MAARTENS ALBERTUS MAARTENS 2013-09-27
001 2011-01-01 ALBERT MAARTENS ALBERT MAARTENS 2012-10-02
001 2009-01-01 ALBERT MAARTENS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	SUZANNE SOLEIMANI	2024-06-27
001	2022-01-01	SUZANNE SOLEIMANI	2023-07-11
001	2021-01-01	SUZANNE SOLEIMANI	2022-10-04
001	2020-01-01	KRISTEN KAESSLER	2021-09-28
001	2019-01-01	KRISTEN KAESSLER	2020-09-23
001	2018-01-01
001	2017-01-01	KRISTEN KAESSLER
001	2016-01-01	KRISTEN KAESSLER
001	2016-01-01	KRISTEN KAESSLER
001	2015-01-01	ALBERT MAARTENS		ALBERT MAARTENS	2016-10-05
001	2014-01-01	ALBERT MAARTENS		ALBERT MAARTENS	2015-09-30
001	2013-01-01	ALBERTUS MAARTENS		ALBERTUS MAARTENS	2014-10-03
001	2012-01-01	ALBERTUS MAARTENS		ALBERTUS MAARTENS	2013-09-27
001	2011-01-01	ALBERT MAARTENS		ALBERT MAARTENS	2012-10-02
001	2009-01-01	ALBERT MAARTENS

Plan Statistics for ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2018: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 103
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 39
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 56
Total of all active and inactive participants 2018-01-01 95
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 95
Number of participants with account balances 2018-01-01 95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 114
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 39
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 63
Total of all active and inactive participants 2017-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 102
Number of participants with account balances 2017-01-01 102
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 47
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 67
Total of all active and inactive participants 2016-01-01 114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 114
Number of participants with account balances 2016-01-01 112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 1
2015: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 138
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 46
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 77
Total of all active and inactive participants 2015-01-01 123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 123
Number of participants with account balances 2015-01-01 121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 138
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 69
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 67
Total of all active and inactive participants 2014-01-01 136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 136
Number of participants with account balances 2014-01-01 134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 3
2013: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 143
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 66
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 70
Total of all active and inactive participants 2013-01-01 136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 136
Number of participants with account balances 2013-01-01 135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 7
2012: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 152
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 82
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 61
Total of all active and inactive participants 2012-01-01 143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 143
Number of participants with account balances 2012-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 4
2011: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 147
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 76
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 76
Total of all active and inactive participants 2011-01-01 152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 152
Number of participants with account balances 2011-01-01 152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2009: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 143
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 78
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 65
Total of all active and inactive participants 2009-01-01 143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 143
Number of participants with account balances 2009-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 13

Measure	Date	Value
2018: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	103
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	39
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	56
Total of all active and inactive participants	2018-01-01	95
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	95
Number of participants with account balances	2018-01-01	95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	114
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	39
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	63
Total of all active and inactive participants	2017-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	102
Number of participants with account balances	2017-01-01	102
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	47
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	67
Total of all active and inactive participants	2016-01-01	114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	114
Number of participants with account balances	2016-01-01	112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	1
2015: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	138
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	46
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	77
Total of all active and inactive participants	2015-01-01	123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	123
Number of participants with account balances	2015-01-01	121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	138
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	69
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	67
Total of all active and inactive participants	2014-01-01	136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	136
Number of participants with account balances	2014-01-01	134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	3
2013: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	143
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	66
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	70
Total of all active and inactive participants	2013-01-01	136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	136
Number of participants with account balances	2013-01-01	135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	7
2012: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	152
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	82
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	61
Total of all active and inactive participants	2012-01-01	143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	143
Number of participants with account balances	2012-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	4
2011: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	147
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	76
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	76
Total of all active and inactive participants	2011-01-01	152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	152
Number of participants with account balances	2011-01-01	152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2009: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	143
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	78
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	65
Total of all active and inactive participants	2009-01-01	143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	143
Number of participants with account balances	2009-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	13

Financial Data on ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2018 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$220,956
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$937,156
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$936,841
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$979,085
Value of total assets at end of year	2018-12-31	$19,271,935
Value of total assets at beginning of year	2018-12-31	$19,988,135
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$315
Total interest from all sources	2018-12-31	$2,822
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,191,193
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,191,193
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$499,438
Participant contributions at end of year	2018-12-31	$80,545
Participant contributions at beginning of year	2018-12-31	$74,599
Participant contributions at end of year	2018-12-31	$7,154
Participant contributions at beginning of year	2018-12-31	$7,818
Other income not declared elsewhere	2018-12-31	$833
Administrative expenses (other) incurred	2018-12-31	$315
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-716,200
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$19,271,935
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$19,988,135
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$17,488,505
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$18,571,106
Interest on participant loans	2018-12-31	$2,822
Value of interest in common/collective trusts at end of year	2018-12-31	$1,682,721
Value of interest in common/collective trusts at beginning of year	2018-12-31	$1,284,321
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,977,932
Net investment gain or loss from common/collective trusts	2018-12-31	$24,955
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$479,647
Employer contributions (assets) at end of year	2018-12-31	$13,010
Employer contributions (assets) at beginning of year	2018-12-31	$50,291
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$936,841
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2018-12-31	223026731
2017 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$4,416,220
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,886,283
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,851,717
Expenses. Certain deemed distributions of participant loans	2017-12-31	$34,076
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$933,300
Value of total assets at end of year	2017-12-31	$19,988,135
Value of total assets at beginning of year	2017-12-31	$18,458,198
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$490
Total interest from all sources	2017-12-31	$4,709
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,035,729
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,035,729
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$519,725
Participant contributions at end of year	2017-12-31	$74,599
Participant contributions at beginning of year	2017-12-31	$126,264
Participant contributions at end of year	2017-12-31	$7,818
Participant contributions at beginning of year	2017-12-31	$9,824
Administrative expenses (other) incurred	2017-12-31	$490
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,529,937
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$19,988,135
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$18,458,198
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$18,571,106
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$16,579,262
Interest on participant loans	2017-12-31	$4,709
Value of interest in common/collective trusts at end of year	2017-12-31	$1,284,321
Value of interest in common/collective trusts at beginning of year	2017-12-31	$1,685,542
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$2,423,562
Net investment gain or loss from common/collective trusts	2017-12-31	$18,920
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$413,575
Employer contributions (assets) at end of year	2017-12-31	$50,291
Employer contributions (assets) at beginning of year	2017-12-31	$57,306
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,851,717
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2017-12-31	223026731
2016 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$2,198,296
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$2,725,942
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$2,724,084
Expenses. Certain deemed distributions of participant loans	2016-12-31	$1,408
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,121,042
Value of total assets at end of year	2016-12-31	$18,458,198
Value of total assets at beginning of year	2016-12-31	$18,985,844
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$450
Total interest from all sources	2016-12-31	$7,129
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$868,686
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$868,686
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$602,115
Participant contributions at end of year	2016-12-31	$126,264
Participant contributions at beginning of year	2016-12-31	$123,867
Participant contributions at end of year	2016-12-31	$9,824
Participant contributions at beginning of year	2016-12-31	$11,794
Administrative expenses (other) incurred	2016-12-31	$450
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-527,646
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$18,458,198
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$18,985,844
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$16,579,262
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$16,702,326
Interest on participant loans	2016-12-31	$7,129
Value of interest in common/collective trusts at end of year	2016-12-31	$1,685,542
Value of interest in common/collective trusts at beginning of year	2016-12-31	$2,069,322
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$197,832
Net investment gain or loss from common/collective trusts	2016-12-31	$3,607
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$518,927
Employer contributions (assets) at end of year	2016-12-31	$57,306
Employer contributions (assets) at beginning of year	2016-12-31	$78,535
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$2,724,084
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2016-12-31	223026731
2015 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$2,322,188
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$1,451,087
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,519,337
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,486,657
Expenses. Certain deemed distributions of participant loans	2015-12-31	$32,304
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,310,533
Value of total assets at end of year	2015-12-31	$18,985,844
Value of total assets at beginning of year	2015-12-31	$21,376,282
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$376
Total interest from all sources	2015-12-31	$7,055
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,099,701
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,099,701
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$610,497
Participant contributions at end of year	2015-12-31	$123,867
Participant contributions at beginning of year	2015-12-31	$213,665
Participant contributions at end of year	2015-12-31	$11,794
Participant contributions at beginning of year	2015-12-31	$15,155
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$144,520
Administrative expenses (other) incurred	2015-12-31	$376
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-68,250
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$18,985,844
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$21,376,282
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$16,702,326
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$17,997,268
Interest on participant loans	2015-12-31	$7,055
Value of interest in common/collective trusts at end of year	2015-12-31	$2,069,322
Value of interest in common/collective trusts at beginning of year	2015-12-31	$3,041,814
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-956,605
Net investment gain or loss from common/collective trusts	2015-12-31	$-9,597
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$555,516
Employer contributions (assets) at end of year	2015-12-31	$78,535
Employer contributions (assets) at beginning of year	2015-12-31	$108,380
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,486,657
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2015-12-31	223026731
2014 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,258,712
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$711,901
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$697,945
Expenses. Certain deemed distributions of participant loans	2014-12-31	$13,406
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,107,374
Value of total assets at end of year	2014-12-31	$21,376,282
Value of total assets at beginning of year	2014-12-31	$18,829,471
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$550
Total interest from all sources	2014-12-31	$9,500
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,529,864
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,529,864
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$869,798
Participant contributions at end of year	2014-12-31	$213,665
Participant contributions at beginning of year	2014-12-31	$257,182
Participant contributions at end of year	2014-12-31	$15,155
Participant contributions at beginning of year	2014-12-31	$12,806
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$516,778
Administrative expenses (other) incurred	2014-12-31	$550
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$2,546,811
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$21,376,282
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$18,829,471
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$17,997,268
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$15,681,534
Interest on participant loans	2014-12-31	$9,500
Value of interest in common/collective trusts at end of year	2014-12-31	$3,041,814
Value of interest in common/collective trusts at beginning of year	2014-12-31	$2,770,877
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-420,964
Net investment gain or loss from common/collective trusts	2014-12-31	$32,938
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$720,798
Employer contributions (assets) at end of year	2014-12-31	$108,380
Employer contributions (assets) at beginning of year	2014-12-31	$107,072
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$697,945
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2014-12-31	223026731
2013 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,861,221
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,734,452
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,733,276
Expenses. Certain deemed distributions of participant loans	2013-12-31	$751
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,719,527
Value of total assets at end of year	2013-12-31	$18,829,471
Value of total assets at beginning of year	2013-12-31	$15,702,702
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$425
Total interest from all sources	2013-12-31	$12,743
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$805,995
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$805,995
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$950,182
Participant contributions at end of year	2013-12-31	$257,182
Participant contributions at beginning of year	2013-12-31	$322,094
Participant contributions at end of year	2013-12-31	$12,806
Participant contributions at beginning of year	2013-12-31	$19,844
Other income not declared elsewhere	2013-12-31	$338
Administrative expenses (other) incurred	2013-12-31	$425
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,126,769
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$18,829,471
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$15,702,702
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$15,681,534
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$12,948,338
Interest on participant loans	2013-12-31	$12,743
Value of interest in common/collective trusts at end of year	2013-12-31	$2,770,877
Value of interest in common/collective trusts at beginning of year	2013-12-31	$2,253,526
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,279,407
Net investment gain or loss from common/collective trusts	2013-12-31	$43,211
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$769,345
Employer contributions (assets) at end of year	2013-12-31	$107,072
Employer contributions (assets) at beginning of year	2013-12-31	$158,900
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,733,276
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2013-12-31	223026731
2012 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,685,184
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,262,585
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,214,873
Expenses. Certain deemed distributions of participant loans	2012-12-31	$46,728
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,077,367
Value of total assets at end of year	2012-12-31	$15,702,702
Value of total assets at beginning of year	2012-12-31	$13,280,103
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$984
Total interest from all sources	2012-12-31	$9,407
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$410,962
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$410,962
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,078,988
Participant contributions at end of year	2012-12-31	$322,094
Participant contributions at beginning of year	2012-12-31	$240,354
Participant contributions at end of year	2012-12-31	$19,844
Participant contributions at beginning of year	2012-12-31	$17,322
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$57,642
Other income not declared elsewhere	2012-12-31	$4,486
Administrative expenses (other) incurred	2012-12-31	$984
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,422,599
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$15,702,702
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$13,280,103
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$12,948,338
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$9,576,878
Interest on participant loans	2012-12-31	$9,407
Value of interest in common/collective trusts at end of year	2012-12-31	$2,253,526
Value of interest in common/collective trusts at beginning of year	2012-12-31	$3,298,275
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,095,172
Net investment gain or loss from common/collective trusts	2012-12-31	$87,790
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$940,737
Employer contributions (assets) at end of year	2012-12-31	$158,900
Employer contributions (assets) at beginning of year	2012-12-31	$147,274
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,214,873
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2012-12-31	223026731
2011 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,762,756
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$447,195
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$446,420
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,982,517
Value of total assets at end of year	2011-12-31	$13,280,103
Value of total assets at beginning of year	2011-12-31	$11,964,542
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$775
Total interest from all sources	2011-12-31	$3,846
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$265,708
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$265,708
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,003,814
Participant contributions at end of year	2011-12-31	$240,354
Participant contributions at beginning of year	2011-12-31	$74,626
Participant contributions at end of year	2011-12-31	$17,322
Administrative expenses (other) incurred	2011-12-31	$775
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$1,315,561
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$13,280,103
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$11,964,542
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$9,576,878
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$8,780,125
Interest on participant loans	2011-12-31	$3,846
Value of interest in common/collective trusts at end of year	2011-12-31	$3,298,275
Value of interest in common/collective trusts at beginning of year	2011-12-31	$3,022,691
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-528,458
Net investment gain or loss from common/collective trusts	2011-12-31	$39,143
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$978,703
Employer contributions (assets) at end of year	2011-12-31	$147,274
Employer contributions (assets) at beginning of year	2011-12-31	$87,100
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$446,420
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2011-12-31	223026731
2010 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$3,151,067
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$740,297
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$739,572
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,803,784
Value of total assets at end of year	2010-12-31	$11,964,542
Value of total assets at beginning of year	2010-12-31	$9,553,772
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$725
Total interest from all sources	2010-12-31	$2,282
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$199,613
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$199,613
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$875,038
Participant contributions at end of year	2010-12-31	$74,626
Participant contributions at beginning of year	2010-12-31	$14,884
Participant contributions at beginning of year	2010-12-31	$32,882
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$87,541
Administrative expenses (other) incurred	2010-12-31	$725
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,410,770
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$11,964,542
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$9,553,772
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$8,780,125
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$6,935,239
Interest on participant loans	2010-12-31	$2,282
Value of interest in common/collective trusts at end of year	2010-12-31	$3,022,691
Value of interest in common/collective trusts at beginning of year	2010-12-31	$2,468,027
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$990,223
Net investment gain or loss from common/collective trusts	2010-12-31	$155,165
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$841,205
Employer contributions (assets) at end of year	2010-12-31	$87,100
Employer contributions (assets) at beginning of year	2010-12-31	$102,740
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$739,572
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	RAYFIELD & LICATA
Accountancy firm EIN	2010-12-31	223026731
2009 : ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN

2018: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ICBC STANDARD SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	STANDARD NEW YORK SECURITIES
Employer identification number (EIN):	133740731
NAIC Classification:	523120
NAIC Description:	Securities Brokerage