401k Plan data: GREGORY J. SCHWARTZ & CO., INC. 401(K) PROFIT SHARING PLAN plan

GREGORY J. SCHWARTZ & CO., INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	GREGORY J. SCHWARTZ & CO., INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

GREGORY J. SCHWARTZ & CO., INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

GREGORY J. SCHWARTZ & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name: GREGORY J. SCHWARTZ & CO., INC.

Employer identification number (EIN): 382117812

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GREGORY J. SCHWARTZ & CO., INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 EDWARD SCHWARTZ 2024-09-09
001 2022-01-01 EDWARD SCHWARTZ 2023-07-28
001 2021-01-01 EDWARD SCHWARTZ 2022-10-03
001 2020-01-01 EDWARD SCHWARTZ 2021-07-28
001 2019-01-01 EDWARD SCHWARTZ 2020-09-28
001 2018-01-01 EDWARD A. SCHWARTZ 2019-05-20 PETER F. SCHWARTZ 2019-05-20
001 2017-01-01 EDWARD A. SCHWARTZ 2018-09-28 PETER F. SCHWARTZ 2018-09-28
001 2016-01-01 EDWARD A SCHWARTZ 2017-10-16 PETER F SCHWARTZ 2017-10-16
001 2015-01-01 EDWARD A SCHWARTZ 2016-10-04 PETER F SCHWARTZ 2016-10-04
001 2015-01-01 EDWARD A SCHWARTZ 2018-01-04 PETER F SCHWARTZ 2018-01-04
001 2014-01-01 EDWARD A SCHWARTZ 2015-07-24 PETER F SCHWARTZ 2015-07-24
001 2013-01-01 EDWARD A SCHWARTZ 2014-07-25 PETER F SCHWARTZ 2014-07-25
001 2012-01-01 EDWARD A SCHWARTZ 2013-07-24 PETER F SCHWARTZ 2013-07-30
001 2011-01-01 EDWARD A SCHWARTZ 2012-09-10 PETER F SCHWARTZ 2012-09-10
001 2010-01-01 EDWARD A SCHWARTZ 2011-07-27 PETER F SCHWARTZ 2011-07-27

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	EDWARD SCHWARTZ	2024-09-09
001	2022-01-01	EDWARD SCHWARTZ	2023-07-28
001	2021-01-01	EDWARD SCHWARTZ	2022-10-03
001	2020-01-01	EDWARD SCHWARTZ	2021-07-28
001	2019-01-01	EDWARD SCHWARTZ	2020-09-28
001	2018-01-01	EDWARD A. SCHWARTZ	2019-05-20	PETER F. SCHWARTZ	2019-05-20
001	2017-01-01	EDWARD A. SCHWARTZ	2018-09-28	PETER F. SCHWARTZ	2018-09-28
001	2016-01-01	EDWARD A SCHWARTZ	2017-10-16	PETER F SCHWARTZ	2017-10-16
001	2015-01-01	EDWARD A SCHWARTZ	2016-10-04	PETER F SCHWARTZ	2016-10-04
001	2015-01-01	EDWARD A SCHWARTZ	2018-01-04	PETER F SCHWARTZ	2018-01-04
001	2014-01-01	EDWARD A SCHWARTZ	2015-07-24	PETER F SCHWARTZ	2015-07-24
001	2013-01-01	EDWARD A SCHWARTZ	2014-07-25	PETER F SCHWARTZ	2014-07-25
001	2012-01-01	EDWARD A SCHWARTZ	2013-07-24	PETER F SCHWARTZ	2013-07-30
001	2011-01-01	EDWARD A SCHWARTZ	2012-09-10	PETER F SCHWARTZ	2012-09-10
001	2010-01-01	EDWARD A SCHWARTZ	2011-07-27	PETER F SCHWARTZ	2011-07-27

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Company Name:	GREGORY J. SCHWARTZ & CO., INC.
Employer identification number (EIN):	382117812
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing