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

Plan NameCOASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN
Plan identification number 001

COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

COASTAL SECURITIES, INC. has sponsored the creation of one or more 401k plans.

Company Name:COASTAL SECURITIES, INC.
Employer identification number (EIN):208175595
NAIC Classification:523120
NAIC Description:Securities Brokerage

Additional information about COASTAL SECURITIES, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date: 2006-12-22
Company Identification Number: 4274906
Legal Registered Office Address: Corporation Trust Center
1209 Orange St
Wilmington
United States of America (USA)
19801

More information about COASTAL SECURITIES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01BRIAN FOLK
0012016-01-01BRIAN FOLK
0012015-01-01BRIAN FOLK
0012014-01-01BRIAN FOLK
0012013-01-01BRIAN FOLK
0012012-01-01BRIAN FOLK
0012011-01-01BRIAN FOLK
0012009-01-01BRIAN FOLK

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

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

Measure Date Value
2017: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01125
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-010
Total of all active and inactive participants2017-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-010
Number of participants with account balances2017-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01130
Total number of active participants reported on line 7a of the Form 55002016-01-0198
Number of retired or separated participants receiving benefits2016-01-012
Number of other retired or separated participants entitled to future benefits2016-01-0125
Total of all active and inactive participants2016-01-01125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01125
Number of participants with account balances2016-01-01116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01132
Total number of active participants reported on line 7a of the Form 55002015-01-01101
Number of retired or separated participants receiving benefits2015-01-012
Number of other retired or separated participants entitled to future benefits2015-01-0127
Total of all active and inactive participants2015-01-01130
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01130
Number of participants with account balances2015-01-01116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01142
Total number of active participants reported on line 7a of the Form 55002014-01-01100
Number of retired or separated participants receiving benefits2014-01-013
Number of other retired or separated participants entitled to future benefits2014-01-0128
Total of all active and inactive participants2014-01-01131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01131
Number of participants with account balances2014-01-01115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01134
Total number of active participants reported on line 7a of the Form 55002013-01-01103
Number of retired or separated participants receiving benefits2013-01-014
Number of other retired or separated participants entitled to future benefits2013-01-0135
Total of all active and inactive participants2013-01-01142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01142
Number of participants with account balances2013-01-01123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01129
Total number of active participants reported on line 7a of the Form 55002012-01-01105
Number of retired or separated participants receiving benefits2012-01-011
Number of other retired or separated participants entitled to future benefits2012-01-0127
Total of all active and inactive participants2012-01-01133
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01134
Number of participants with account balances2012-01-01120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01133
Total number of active participants reported on line 7a of the Form 55002011-01-01107
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0122
Total of all active and inactive participants2011-01-01129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01129
Number of participants with account balances2011-01-01116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01125
Total number of active participants reported on line 7a of the Form 55002009-01-01116
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0122
Total of all active and inactive participants2009-01-01138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01138
Number of participants with account balances2009-01-01119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

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

Measure Date Value
2017 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-10-25$1,929,177
Total of all expenses incurred2017-10-25$19,213,609
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-10-25$19,121,894
Expenses. Certain deemed distributions of participant loans2017-10-25$11,233
Value of total corrective distributions2017-10-25$51,382
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-10-25$361,856
Value of total assets at end of year2017-10-25$0
Value of total assets at beginning of year2017-10-25$17,284,432
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-10-25$29,100
Total interest from all sources2017-10-25$17,667
Total dividends received (eg from common stock, registered investment company shares)2017-10-25$75,327
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-10-25Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2017-10-25$0
Total dividends received from registered investment company shares (eg mutual funds)2017-10-25$75,327
Administrative expenses professional fees incurred2017-10-25$3,080
Was this plan covered by a fidelity bond2017-10-25Yes
Value of fidelity bond cover2017-10-25$500,000
If this is an individual account plan, was there a blackout period2017-10-25No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-10-25$0
Were there any nonexempt tranactions with any party-in-interest2017-10-25No
Contributions received from participants2017-10-25$361,856
Participant contributions at end of year2017-10-25$0
Participant contributions at beginning of year2017-10-25$179,125
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-10-25$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-10-25$69
Administrative expenses (other) incurred2017-10-25$26,020
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-10-25No
Value of net income/loss2017-10-25$-17,284,432
Value of net assets at end of year (total assets less liabilities)2017-10-25$0
Value of net assets at beginning of year (total assets less liabilities)2017-10-25$17,284,432
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-10-25No
Were any loans by the plan or fixed income obligations due to the plan in default2017-10-25No
Were any leases to which the plan was party in default or uncollectible2017-10-25No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-10-25$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-10-25$13,723,884
Interest on participant loans2017-10-25$4,964
Interest earned on other investments2017-10-25$12,703
Value of interest in common/collective trusts at end of year2017-10-25$0
Value of interest in common/collective trusts at beginning of year2017-10-25$1,759,961
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-10-25$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-10-25$1,621,393
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-10-25$1,345,013
Net investment gain or loss from common/collective trusts2017-10-25$129,314
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-10-25No
Was there a failure to transmit to the plan any participant contributions2017-10-25No
Has the plan failed to provide any benefit when due under the plan2017-10-25No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-10-25$19,121,894
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-10-25No
Did the plan have assets held for investment2017-10-25No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-10-25No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-10-25Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-10-25Yes
Opinion of an independent qualified public accountant for this plan2017-10-25Disclaimer
Accountancy firm name2017-10-25WEAVERAND TIDWELL, LLP
Accountancy firm EIN2017-10-25750786316
2016 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total transfer of assets to this plan2016-12-31$213,718
Total income from all sources (including contributions)2016-12-31$1,924,858
Total of all expenses incurred2016-12-31$963,458
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$908,176
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$889,655
Value of total assets at end of year2016-12-31$17,284,432
Value of total assets at beginning of year2016-12-31$16,109,314
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$55,282
Total interest from all sources2016-12-31$29,731
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$195,580
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$195,580
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$888,877
Participant contributions at end of year2016-12-31$179,125
Participant contributions at beginning of year2016-12-31$226,739
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$69
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$165
Administrative expenses (other) incurred2016-12-31$55,282
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$961,400
Value of net assets at end of year (total assets less liabilities)2016-12-31$17,284,432
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$16,109,314
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$13,723,884
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$12,595,285
Interest on participant loans2016-12-31$8,615
Interest earned on other investments2016-12-31$21,116
Value of interest in common/collective trusts at end of year2016-12-31$1,759,961
Value of interest in common/collective trusts at beginning of year2016-12-31$1,708,087
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$1,621,393
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$1,579,038
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$695,694
Net investment gain or loss from common/collective trusts2016-12-31$114,198
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$778
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$908,176
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31WEAVERAND TIDWELL, LLP
Accountancy firm EIN2016-12-31750786316
2015 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$1,360,896
Total of all expenses incurred2015-12-31$5,079,612
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$5,033,287
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,040,630
Value of total assets at end of year2015-12-31$16,109,314
Value of total assets at beginning of year2015-12-31$19,828,030
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$46,325
Total interest from all sources2015-12-31$29,462
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$190,755
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$190,755
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$866,232
Participant contributions at end of year2015-12-31$226,739
Participant contributions at beginning of year2015-12-31$263,034
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$174,398
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$165
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$303
Other income not declared elsewhere2015-12-31$184,063
Administrative expenses (other) incurred2015-12-31$46,325
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-3,718,716
Value of net assets at end of year (total assets less liabilities)2015-12-31$16,109,314
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$19,828,030
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$12,595,285
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$14,600,134
Interest on participant loans2015-12-31$9,652
Interest earned on other investments2015-12-31$19,810
Value of interest in common/collective trusts at end of year2015-12-31$1,708,087
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$1,579,038
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$1,665,159
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-86,574
Net investment gain or loss from common/collective trusts2015-12-31$2,560
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Assets. Invements in employer securities at beginning of year2015-12-31$3,299,400
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$5,033,287
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31WEAVERAND TIDWELL, LLP
Accountancy firm EIN2015-12-31750786316
2014 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$2,695,637
Total of all expenses incurred2014-12-31$1,396,623
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,354,838
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$778,896
Value of total assets at end of year2014-12-31$19,828,030
Value of total assets at beginning of year2014-12-31$18,529,016
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$41,785
Total interest from all sources2014-12-31$29,622
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$213,772
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$213,772
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$776,685
Participant contributions at end of year2014-12-31$263,034
Participant contributions at beginning of year2014-12-31$214,431
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$2,211
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$303
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$249
Other income not declared elsewhere2014-12-31$937,250
Administrative expenses (other) incurred2014-12-31$41,785
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,299,014
Value of net assets at end of year (total assets less liabilities)2014-12-31$19,828,030
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$18,529,016
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$14,600,134
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$14,290,688
Interest on participant loans2014-12-31$9,444
Interest earned on other investments2014-12-31$20,178
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$1,665,159
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$1,485,648
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$736,097
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Assets. Invements in employer securities at end of year2014-12-31$3,299,400
Assets. Invements in employer securities at beginning of year2014-12-31$2,538,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,354,838
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31No
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31WEAVER AND TIDWELL, LLP
Accountancy firm EIN2014-12-31750786316
2013 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$2,754,346
Total of all expenses incurred2013-12-31$1,465,713
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,451,395
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$848,599
Value of total assets at end of year2013-12-31$18,529,016
Value of total assets at beginning of year2013-12-31$17,240,383
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$14,318
Total interest from all sources2013-12-31$31,359
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$187,430
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$187,430
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$801,834
Participant contributions at end of year2013-12-31$214,431
Participant contributions at beginning of year2013-12-31$210,599
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$46,765
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$249
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$311
Other income not declared elsewhere2013-12-31$-751,811
Administrative expenses (other) incurred2013-12-31$14,318
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$1,288,633
Value of net assets at end of year (total assets less liabilities)2013-12-31$18,529,016
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$17,240,383
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$14,290,688
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$11,759,703
Interest on participant loans2013-12-31$9,738
Interest earned on other investments2013-12-31$21,621
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$1,485,648
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$1,475,010
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$2,438,769
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$2,538,000
Assets. Invements in employer securities at beginning of year2013-12-31$3,794,760
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,451,395
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31WEAVER AND TIDWELL, LLP
Accountancy firm EIN2013-12-31750786316
2012 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources (including contributions)2012-12-31$2,826,910
Total of all expenses incurred2012-12-31$843,303
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$837,391
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$938,815
Value of total assets at end of year2012-12-31$17,240,383
Value of total assets at beginning of year2012-12-31$15,256,776
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$5,912
Total interest from all sources2012-12-31$46,519
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$167,301
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$167,301
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$798,248
Participant contributions at end of year2012-12-31$210,599
Participant contributions at beginning of year2012-12-31$230,309
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$140,567
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$311
Other income not declared elsewhere2012-12-31$528,547
Administrative expenses (other) incurred2012-12-31$5,912
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,983,607
Value of net assets at end of year (total assets less liabilities)2012-12-31$17,240,383
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$15,256,776
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$11,759,703
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$9,773,454
Interest on participant loans2012-12-31$9,254
Interest earned on other investments2012-12-31$37,265
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$1,475,010
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,458,613
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,145,728
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Assets. Invements in employer securities at end of year2012-12-31$3,794,760
Assets. Invements in employer securities at beginning of year2012-12-31$3,794,400
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$837,391
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31WEAVER AND TIDWELL, LLP
Accountancy firm EIN2012-12-31750786316
2011 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources (including contributions)2011-12-31$2,606,371
Total of all expenses incurred2011-12-31$2,189,103
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,182,845
Expenses. Certain deemed distributions of participant loans2011-12-31$5,380
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$893,335
Value of total assets at end of year2011-12-31$15,256,776
Value of total assets at beginning of year2011-12-31$14,839,508
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$878
Total interest from all sources2011-12-31$47,986
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$296,702
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$115,401
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$812,984
Participant contributions at end of year2011-12-31$230,309
Participant contributions at beginning of year2011-12-31$145,986
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$80,351
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$236,148
Other income not declared elsewhere2011-12-31$0
Administrative expenses (other) incurred2011-12-31$878
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$417,268
Value of net assets at end of year (total assets less liabilities)2011-12-31$15,256,776
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$14,839,508
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$9,773,454
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$9,735,613
Interest on participant loans2011-12-31$9,221
Interest earned on other investments2011-12-31$38,765
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,458,613
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$1,281,761
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$1,368,348
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$3,794,400
Assets. Invements in employer securities at beginning of year2011-12-31$3,440,000
Income. Dividends from common stock2011-12-31$181,301
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,182,845
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31WEAVER AND TIDWELL, L.L.P.
Accountancy firm EIN2011-12-31750786316
2010 : COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources (including contributions)2010-12-31$3,050,683
Total of all expenses incurred2010-12-31$352,973
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$352,373
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$836,835
Value of total assets at end of year2010-12-31$14,839,508
Value of total assets at beginning of year2010-12-31$12,141,798
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$600
Total interest from all sources2010-12-31$47,087
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$350,255
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$114,435
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$830,776
Participant contributions at end of year2010-12-31$145,986
Participant contributions at beginning of year2010-12-31$119,772
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$6,059
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$236,148
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$247,467
Administrative expenses (other) incurred2010-12-31$600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,697,710
Value of net assets at end of year (total assets less liabilities)2010-12-31$14,839,508
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$12,141,798
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$9,735,613
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$7,982,962
Interest on participant loans2010-12-31$6,083
Interest earned on other investments2010-12-31$41,004
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$1,281,761
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$1,252,877
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,816,506
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$3,440,000
Assets. Invements in employer securities at beginning of year2010-12-31$2,538,720
Income. Dividends from common stock2010-12-31$235,820
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$352,373
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31WEAVER AND TIDWELL, L.L.P.
Accountancy firm EIN2010-12-31750786316
2009 : COASTAL 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 securities2009-12-31$0

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

2017: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01This submission is the final filingYes
2017-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: COASTAL SECURITIES, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62050
Policy instance 1
Insurance contract or identification numberQK62050
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-10-25
Total amount of commissions paid to insurance brokerUSD $3,226
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,226
Insurance broker organization code?3
Insurance broker nameMID-CONTINENT SECURITIES ADVISORS
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62050
Policy instance 1
Insurance contract or identification numberQK62050
Number of Individuals Covered115
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $3,989
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,989
Insurance broker organization code?3
Insurance broker nameMID-CONTINENT SECURITIES ADVISORS
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62050
Policy instance 1
Insurance contract or identification numberQK62050
Number of Individuals Covered115
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $3,764
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,764
Insurance broker organization code?3
Insurance broker nameMID-CONTINENT SECURITIES ADVISORS
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62050
Policy instance 1
Insurance contract or identification numberQK62050
Number of Individuals Covered123
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $3,711
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,711
Insurance broker organization code?3
Insurance broker nameMID-CONTINENT SECURITIES ADVISORS
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62050
Policy instance 1
Insurance contract or identification numberQK62050
Number of Individuals Covered120
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62050
Policy instance 1
Insurance contract or identification numberQK62050
Number of Individuals Covered116
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $4,037
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62050
Policy instance 1
Insurance contract or identification numberQK62050
Number of Individuals Covered116
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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