401k Plan data: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN plan

COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 401k Plan overview

Plan Name	COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN
Plan identification number	002

COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

COMMONWEALTH FINANCIAL GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: COMMONWEALTH FINANCIAL GROUP, INC.

Employer identification number (EIN): 223217132

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 JEFFREY LAINE 2023-10-13
002 2021-01-01 JEFFREY LAINE 2022-10-16
002 2020-01-01 JEFFREY LAINE 2021-10-06
002 2019-01-01 JEFFREY LAINE 2020-06-15
002 2014-01-01 JEFFREY LAINE 2015-07-07
002 2013-01-01 JEFFREY LAINE 2014-08-12 JEFFREY LAINE 2014-08-12
002 2012-01-01 JEFFREY LAINE 2013-10-01 JEFFREY LAINE 2013-10-01
002 2011-01-01 JEFFREY LAINE
002 2010-01-01 JEFFREY LAINE
002 2009-01-01 JEFFREY LAINE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01	JEFFREY LAINE	2023-10-13
002	2021-01-01	JEFFREY LAINE	2022-10-16
002	2020-01-01	JEFFREY LAINE	2021-10-06
002	2019-01-01	JEFFREY LAINE	2020-06-15
002	2014-01-01	JEFFREY LAINE	2015-07-07
002	2013-01-01	JEFFREY LAINE	2014-08-12	JEFFREY LAINE	2014-08-12
002	2012-01-01	JEFFREY LAINE	2013-10-01	JEFFREY LAINE	2013-10-01
002	2011-01-01	JEFFREY LAINE
002	2010-01-01	JEFFREY LAINE
002	2009-01-01	JEFFREY LAINE

Plan Statistics for COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN

401k plan membership statisitcs for COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN

Measure Date Value
2011: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 1
Number of participants with account balances 2011-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 1
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 1
Number of participants with account balances 2010-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 1
Number of participants with account balances 2009-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	1
Number of participants with account balances	2011-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	1
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	1
Number of participants with account balances	2010-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	1
Number of participants with account balances	2009-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN

Measure	Date	Value
2011 : COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$-19,761
Total plan assets at end of year	2011-12-31	$199,680
Total plan assets at beginning of year	2011-12-31	$219,441
Value of fidelity bond covering the plan	2011-12-31	$200,000
Other income received	2011-12-31	$-19,761
Net income (gross income less expenses)	2011-12-31	$-19,761
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$199,680
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$219,441
2010 : COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$31,498
Total plan assets at end of year	2010-12-31	$219,441
Total plan assets at beginning of year	2010-12-31	$187,453
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$31,498
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$31,498
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$219,441
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$187,453
Total contributions received or receivable from employer(s)	2010-12-31	$0

Form 5500 Responses for COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN

2011: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: COMMONWEALTH FINANCIAL GROUP, INC. PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	COMMONWEALTH FINANCIAL GROUP, INC.
Employer identification number (EIN):	223217132
NAIC Classification:	523120
NAIC Description:	Securities Brokerage