401k Plan data: SHUFRO, ROSE & CO. 401(K) PLAN plan

SHUFRO, ROSE & CO. 401(K) PLAN 401k Plan overview

Plan Name	SHUFRO, ROSE & CO. 401(K) PLAN
Plan identification number	001

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

SHUFRO, ROSE & CO., L.L.C. has sponsored the creation of one or more 401k plans.

Company Name: SHUFRO, ROSE & CO., L.L.C.

Employer identification number (EIN): 135390713

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SHUFRO, ROSE & CO. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01 JOHN WILKENS
001 2017-01-01 PETER SINELNIKOV
001 2016-01-01 PETER SINELNIKOV
001 2015-01-01 TONIA KAMINSKY
001 2014-01-01 TONIA KAMINSKY 2015-07-27 TONIA KAMINSKY 2015-07-27
001 2013-01-01 TONIA KAMINSKY 2014-06-25 TONIA KAMINSKY 2014-06-25
001 2012-01-01 TONIA KAMINSKY 2013-07-24 TONIA KAMINSKY 2013-07-24
001 2011-01-01 TONIA KAMINSKY 2012-09-27 TONIA KAMINSKY 2012-09-27
001 2010-01-01 TONIA KAMINSKY 2011-08-15 TONIA KAMINSKY 2011-08-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01	JOHN WILKENS
001	2017-01-01	PETER SINELNIKOV
001	2016-01-01	PETER SINELNIKOV
001	2015-01-01	TONIA KAMINSKY
001	2014-01-01	TONIA KAMINSKY	2015-07-27	TONIA KAMINSKY	2015-07-27
001	2013-01-01	TONIA KAMINSKY	2014-06-25	TONIA KAMINSKY	2014-06-25
001	2012-01-01	TONIA KAMINSKY	2013-07-24	TONIA KAMINSKY	2013-07-24
001	2011-01-01	TONIA KAMINSKY	2012-09-27	TONIA KAMINSKY	2012-09-27
001	2010-01-01	TONIA KAMINSKY	2011-08-15	TONIA KAMINSKY	2011-08-15

Plan Statistics for SHUFRO, ROSE & CO. 401(K) PLAN

401k plan membership statisitcs for SHUFRO, ROSE & CO. 401(K) PLAN

Measure Date Value
2022: SHUFRO, ROSE & CO. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 26
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 5
Total of all active and inactive participants 2022-01-01 31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 1
Total participants 2022-01-01 32
Number of participants with account balances 2022-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: SHUFRO, ROSE & CO. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 23
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 7
Total of all active and inactive participants 2021-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 1
Total participants 2021-01-01 31
Number of participants with account balances 2021-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: SHUFRO, ROSE & CO. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 26
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 23
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 4
Total of all active and inactive participants 2020-01-01 27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 27
Number of participants with account balances 2020-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: SHUFRO, ROSE & CO. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 20
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 6
Total of all active and inactive participants 2019-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 26
Number of participants with account balances 2019-01-01 26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: SHUFRO, ROSE & CO. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 17
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 6
Total of all active and inactive participants 2018-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 23
Number of participants with account balances 2018-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: SHUFRO, ROSE & CO. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 20
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 3
Total of all active and inactive participants 2017-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 23
Number of participants with account balances 2017-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: SHUFRO, ROSE & CO. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 21
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 4
Total of all active and inactive participants 2016-01-01 25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 25
Number of participants with account balances 2016-01-01 25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: SHUFRO, ROSE & CO. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 21
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 2
Total of all active and inactive participants 2015-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 23
Number of participants with account balances 2015-01-01 22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2022: SHUFRO, ROSE & CO. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	26
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	5
Total of all active and inactive participants	2022-01-01	31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	1
Total participants	2022-01-01	32
Number of participants with account balances	2022-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: SHUFRO, ROSE & CO. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	23
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	7
Total of all active and inactive participants	2021-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	1
Total participants	2021-01-01	31
Number of participants with account balances	2021-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: SHUFRO, ROSE & CO. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	26
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	23
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	4
Total of all active and inactive participants	2020-01-01	27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	27
Number of participants with account balances	2020-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: SHUFRO, ROSE & CO. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	20
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	6
Total of all active and inactive participants	2019-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	26
Number of participants with account balances	2019-01-01	26
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: SHUFRO, ROSE & CO. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	17
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	6
Total of all active and inactive participants	2018-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	23
Number of participants with account balances	2018-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: SHUFRO, ROSE & CO. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	20
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	3
Total of all active and inactive participants	2017-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	23
Number of participants with account balances	2017-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: SHUFRO, ROSE & CO. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	21
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	4
Total of all active and inactive participants	2016-01-01	25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	25
Number of participants with account balances	2016-01-01	25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: SHUFRO, ROSE & CO. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	21
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	2
Total of all active and inactive participants	2015-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	23
Number of participants with account balances	2015-01-01	22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on SHUFRO, ROSE & CO. 401(K) PLAN

Measure	Date	Value
2022 : SHUFRO, ROSE & CO. 401(K) PLAN 2022 401k financial data
Transfers to/from the plan	2022-12-31	$0
Total plan liabilities at end of year	2022-12-31	$0
Total plan liabilities at beginning of year	2022-12-31	$0
Total income from all sources	2022-12-31	$-1,129,790
Expenses. Total of all expenses incurred	2022-12-31	$7,946,743
Benefits paid (including direct rollovers)	2022-12-31	$7,946,424
Total plan assets at end of year	2022-12-31	$12,487,298
Total plan assets at beginning of year	2022-12-31	$21,563,831
Value of fidelity bond covering the plan	2022-12-31	$500,000
Assets. Value of tangible personal property	2022-12-31	$0
Total contributions received or receivable from participants	2022-12-31	$332,692
Assets. Value of loans (other than to participants)	2022-12-31	$0
Expenses. Other expenses not covered elsewhere	2022-12-31	$0
Contributions received from other sources (not participants or employers)	2022-12-31	$206,339
Other income received	2022-12-31	$-1,822,308
Noncash contributions received	2022-12-31	$0
Net income (gross income less expenses)	2022-12-31	$-9,076,533
Net plan assets at end of year (total assets less liabilities)	2022-12-31	$12,487,298
Net plan assets at beginning of year (total assets less liabilities)	2022-12-31	$21,563,831
Assets. Value of participant loans	2022-12-31	$19,749
Assets. Value of assets in partnership/joint-venture interests	2022-12-31	$0
Assets. Value of real-estate (other than employer real property)	2022-12-31	$0
Assets. Value of employer securities	2022-12-31	$0
Assets. Value of employer real property	2022-12-31	$0
Total contributions received or receivable from employer(s)	2022-12-31	$153,487
Value of certain deemed distributions of participant loans	2022-12-31	$0
Value of corrective distributions	2022-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2022-12-31	$319
2021 : SHUFRO, ROSE & CO. 401(K) PLAN 2021 401k financial data
Transfers to/from the plan	2021-12-31	$57
Total plan liabilities at end of year	2021-12-31	$0
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$3,430,680
Expenses. Total of all expenses incurred	2021-12-31	$688,789
Benefits paid (including direct rollovers)	2021-12-31	$688,745
Total plan assets at end of year	2021-12-31	$21,563,831
Total plan assets at beginning of year	2021-12-31	$18,821,883
Value of fidelity bond covering the plan	2021-12-31	$500,000
Total contributions received or receivable from participants	2021-12-31	$303,730
Expenses. Other expenses not covered elsewhere	2021-12-31	$0
Contributions received from other sources (not participants or employers)	2021-12-31	$84,844
Other income received	2021-12-31	$2,910,358
Noncash contributions received	2021-12-31	$0
Net income (gross income less expenses)	2021-12-31	$2,741,891
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$21,563,831
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$18,821,883
Assets. Value of participant loans	2021-12-31	$0
Total contributions received or receivable from employer(s)	2021-12-31	$131,748
Value of certain deemed distributions of participant loans	2021-12-31	$0
Value of corrective distributions	2021-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2021-12-31	$44
2020 : SHUFRO, ROSE & CO. 401(K) PLAN 2020 401k financial data
Transfers to/from the plan	2020-12-31	$0
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$2,795,963
Expenses. Total of all expenses incurred	2020-12-31	$318,908
Benefits paid (including direct rollovers)	2020-12-31	$318,808
Total plan assets at end of year	2020-12-31	$18,821,883
Total plan assets at beginning of year	2020-12-31	$16,344,828
Value of fidelity bond covering the plan	2020-12-31	$500,000
Total contributions received or receivable from participants	2020-12-31	$297,495
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$34,280
Other income received	2020-12-31	$2,342,486
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$2,477,055
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$18,821,883
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$16,344,828
Assets. Value of participant loans	2020-12-31	$4,229
Total contributions received or receivable from employer(s)	2020-12-31	$121,702
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$100
2019 : SHUFRO, ROSE & CO. 401(K) PLAN 2019 401k financial data
Transfers to/from the plan	2019-12-31	$0
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$3,042,821
Expenses. Total of all expenses incurred	2019-12-31	$754,381
Benefits paid (including direct rollovers)	2019-12-31	$754,329
Total plan assets at end of year	2019-12-31	$16,344,828
Total plan assets at beginning of year	2019-12-31	$14,056,388
Value of fidelity bond covering the plan	2019-12-31	$500,000
Total contributions received or receivable from participants	2019-12-31	$242,214
Expenses. Other expenses not covered elsewhere	2019-12-31	$0
Contributions received from other sources (not participants or employers)	2019-12-31	$0
Other income received	2019-12-31	$2,698,092
Noncash contributions received	2019-12-31	$0
Net income (gross income less expenses)	2019-12-31	$2,288,440
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$16,344,828
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$14,056,388
Assets. Value of participant loans	2019-12-31	$7,968
Total contributions received or receivable from employer(s)	2019-12-31	$102,515
Value of certain deemed distributions of participant loans	2019-12-31	$0
Value of corrective distributions	2019-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$52
2018 : SHUFRO, ROSE & CO. 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-12-31	$0
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$0
Total income from all sources	2018-12-31	$-722,768
Expenses. Total of all expenses incurred	2018-12-31	$980,952
Benefits paid (including direct rollovers)	2018-12-31	$980,819
Total plan assets at end of year	2018-12-31	$14,056,388
Total plan assets at beginning of year	2018-12-31	$15,760,108
Value of fidelity bond covering the plan	2018-12-31	$500,000
Total contributions received or receivable from participants	2018-12-31	$288,609
Expenses. Other expenses not covered elsewhere	2018-12-31	$0
Contributions received from other sources (not participants or employers)	2018-12-31	$107,933
Other income received	2018-12-31	$-1,228,098
Noncash contributions received	2018-12-31	$0
Net income (gross income less expenses)	2018-12-31	$-1,703,720
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$14,056,388
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$15,760,108
Assets. Value of participant loans	2018-12-31	$11,543
Total contributions received or receivable from employer(s)	2018-12-31	$108,788
Value of certain deemed distributions of participant loans	2018-12-31	$0
Value of corrective distributions	2018-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$133
2017 : SHUFRO, ROSE & CO. 401(K) PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$2,136,046
Expenses. Total of all expenses incurred	2017-12-31	$610,024
Benefits paid (including direct rollovers)	2017-12-31	$609,910
Total plan assets at end of year	2017-12-31	$15,760,108
Total plan assets at beginning of year	2017-12-31	$14,234,086
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$264,675
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$8,400
Other income received	2017-12-31	$1,766,156
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$1,526,022
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$15,760,108
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$14,234,086
Assets. Value of participant loans	2017-12-31	$9,346
Total contributions received or receivable from employer(s)	2017-12-31	$96,815
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$114
2016 : SHUFRO, ROSE & CO. 401(K) PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$1,823,484
Expenses. Total of all expenses incurred	2016-12-31	$977,252
Benefits paid (including direct rollovers)	2016-12-31	$977,021
Total plan assets at end of year	2016-12-31	$14,234,086
Total plan assets at beginning of year	2016-12-31	$13,387,854
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$266,495
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$28,849
Other income received	2016-12-31	$1,425,084
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$846,232
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$14,234,086
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$13,387,854
Assets. Value of participant loans	2016-12-31	$1,039
Total contributions received or receivable from employer(s)	2016-12-31	$103,056
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$231
2015 : SHUFRO, ROSE & CO. 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$294,379
Expenses. Total of all expenses incurred	2015-12-31	$283,611
Benefits paid (including direct rollovers)	2015-12-31	$282,337
Total plan assets at end of year	2015-12-31	$13,387,854
Total plan assets at beginning of year	2015-12-31	$13,377,086
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$245,540
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$-56,252
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$10,768
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$13,387,854
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$13,377,086
Assets. Value of participant loans	2015-12-31	$37,985
Assets. Value of assets in partnership/joint-venture interests	2015-12-31	$0
Total contributions received or receivable from employer(s)	2015-12-31	$105,091
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$1,274

Form 5500 Responses for SHUFRO, ROSE & CO. 401(K) PLAN

2022: SHUFRO, ROSE & CO. 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: SHUFRO, ROSE & CO. 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: SHUFRO, ROSE & CO. 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	This submission is the final filing	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: SHUFRO, ROSE & CO. 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: SHUFRO, ROSE & CO. 401(K) 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 – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SHUFRO, ROSE & CO. 401(K) 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 – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SHUFRO, ROSE & CO. 401(K) 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 – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SHUFRO, ROSE & CO. 401(K) 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

6110278

Policy instance

Insurance contract or identification number	6110278
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	1
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

6110278

Policy instance

Insurance contract or identification number	6110278
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	1
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Insurance broker name

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

6110278

Policy instance

Insurance contract or identification number	6110278
Number of Individuals Covered	1
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	Yes
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Insurance broker name

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	SHUFRO, ROSE & CO., L.L.C.
Employer identification number (EIN):	135390713
NAIC Classification:	523120
NAIC Description:	Securities Brokerage