401k Plan data: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN plan

BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN
Plan identification number	001

BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BROKER DEALER FINANCIAL SERVICES CORP. has sponsored the creation of one or more 401k plans.

Company Name: BROKER DEALER FINANCIAL SERVICES CORP.

Employer identification number (EIN): 421130227

NAIC Classification: 551112
NAIC Description: Offices of Other Holding Companies

Additional information about BROKER DEALER FINANCIAL SERVICES CORP.

Jurisdiction of Incorporation: Iowa Secretary of State Business Entities

Incorporation Date: 1979-09-14

Company Identification Number: 040218

Legal Registered Office Address: 6775 BOONEVILLE ROAD

WEST DES MOINES
United States of America (USA)
50266

More information about BROKER DEALER FINANCIAL SERVICES CORP.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2018-10-03
001 2016-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2017-10-03
001 2015-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2016-10-12
001 2014-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2015-10-08
001 2013-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2014-10-08
001 2012-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2013-10-14
001 2011-01-01 JUDY KING
001 2010-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2011-10-14
001 2009-01-01 MICHAEL SHERZAN MICHAEL SHERZAN 2010-10-11

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01
001	2017-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2018-10-03
001	2016-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2017-10-03
001	2015-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2016-10-12
001	2014-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2015-10-08
001	2013-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2014-10-08
001	2012-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2013-10-14
001	2011-01-01	JUDY KING
001	2010-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2011-10-14
001	2009-01-01	MICHAEL SHERZAN	MICHAEL SHERZAN	2010-10-11

Plan Statistics for BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN

401k plan membership statisitcs for BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN

Measure Date Value
2019: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 19
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
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 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 53
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
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 19
Total of all active and inactive participants 2018-01-01 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 19
Number of participants with account balances 2018-01-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 5
2017: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 69
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 42
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 11
Total of all active and inactive participants 2017-01-01 53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 53
Number of participants with account balances 2017-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 6
2016: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 67
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 52
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 17
Total of all active and inactive participants 2016-01-01 69
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 69
Number of participants with account balances 2016-01-01 61
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 14
2015: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 68
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 54
Number of retired or separated participants receiving benefits 2015-01-01 2
Number of other retired or separated participants entitled to future benefits 2015-01-01 10
Total of all active and inactive participants 2015-01-01 66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 66
Number of participants with account balances 2015-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 5
2014: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 59
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 58
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 7
Total of all active and inactive participants 2014-01-01 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 65
Number of participants with account balances 2014-01-01 62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 49
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 10
Total of all active and inactive participants 2013-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 59
Number of participants with account balances 2013-01-01 58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 5
2012: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 51
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 11
Total of all active and inactive participants 2012-01-01 62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 62
Number of participants with account balances 2012-01-01 55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 49
Number of other retired or separated participants entitled to future benefits 2011-01-01 10
Total of all active and inactive participants 2011-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 59
Number of participants with account balances 2011-01-01 58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 6
2010: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 54
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 56
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 3
Total of all active and inactive participants 2010-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 59
Number of participants with account balances 2010-01-01 59
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 4
2009: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 55
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 52
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 2
Total of all active and inactive participants 2009-01-01 54
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 54
Number of participants with account balances 2009-01-01 54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2019: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	19
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
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	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	53
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
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	19
Total of all active and inactive participants	2018-01-01	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	19
Number of participants with account balances	2018-01-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	5
2017: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	69
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	42
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	11
Total of all active and inactive participants	2017-01-01	53
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	53
Number of participants with account balances	2017-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	6
2016: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	67
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	52
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	17
Total of all active and inactive participants	2016-01-01	69
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	69
Number of participants with account balances	2016-01-01	61
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	14
2015: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	68
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	54
Number of retired or separated participants receiving benefits	2015-01-01	2
Number of other retired or separated participants entitled to future benefits	2015-01-01	10
Total of all active and inactive participants	2015-01-01	66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	66
Number of participants with account balances	2015-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	5
2014: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	59
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	58
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	7
Total of all active and inactive participants	2014-01-01	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	65
Number of participants with account balances	2014-01-01	62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	49
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	10
Total of all active and inactive participants	2013-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	59
Number of participants with account balances	2013-01-01	58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	5
2012: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	51
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	11
Total of all active and inactive participants	2012-01-01	62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	62
Number of participants with account balances	2012-01-01	55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	49
Number of other retired or separated participants entitled to future benefits	2011-01-01	10
Total of all active and inactive participants	2011-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	59
Number of participants with account balances	2011-01-01	58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	6
2010: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	54
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	56
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	3
Total of all active and inactive participants	2010-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	59
Number of participants with account balances	2010-01-01	59
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	4
2009: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	55
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	52
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	2
Total of all active and inactive participants	2009-01-01	54
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	54
Number of participants with account balances	2009-01-01	54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN

Measure	Date	Value
2019 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2019 401k financial data
Total income from all sources	2019-09-20	$4,184
Expenses. Total of all expenses incurred	2019-09-20	$371,144
Benefits paid (including direct rollovers)	2019-09-20	$371,144
Total plan assets at end of year	2019-09-20	$0
Total plan assets at beginning of year	2019-09-20	$366,960
Value of fidelity bond covering the plan	2019-09-20	$500,000
Other income received	2019-09-20	$4,184
Net income (gross income less expenses)	2019-09-20	$-366,960
Net plan assets at end of year (total assets less liabilities)	2019-09-20	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-09-20	$366,960
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-09-20	$0
2018 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$-337,928
Expenses. Total of all expenses incurred	2018-12-31	$6,921,969
Benefits paid (including direct rollovers)	2018-12-31	$6,911,893
Total plan assets at end of year	2018-12-31	$366,960
Total plan assets at beginning of year	2018-12-31	$7,626,857
Value of fidelity bond covering the plan	2018-12-31	$500,000
Total contributions received or receivable from participants	2018-12-31	$156,341
Other income received	2018-12-31	$-545,408
Net income (gross income less expenses)	2018-12-31	$-7,259,897
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$366,960
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$7,626,857
Assets. Value of participant loans	2018-12-31	$0
Total contributions received or receivable from employer(s)	2018-12-31	$51,139
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$10,076
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$1,237,414
Expenses. Total of all expenses incurred	2017-12-31	$3,210,072
Benefits paid (including direct rollovers)	2017-12-31	$3,208,588
Total plan assets at end of year	2017-12-31	$7,626,857
Total plan assets at beginning of year	2017-12-31	$9,599,515
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$208,900
Contributions received from other sources (not participants or employers)	2017-12-31	$1,417
Other income received	2017-12-31	$1,002,091
Net income (gross income less expenses)	2017-12-31	$-1,972,658
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$7,626,857
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$9,599,515
Assets. Value of participant loans	2017-12-31	$74,855
Total contributions received or receivable from employer(s)	2017-12-31	$25,006
Value of certain deemed distributions of participant loans	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$1,484
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$1,481,067
Expenses. Total of all expenses incurred	2016-12-31	$1,022,517
Benefits paid (including direct rollovers)	2016-12-31	$1,020,786
Total plan assets at end of year	2016-12-31	$9,599,515
Total plan assets at beginning of year	2016-12-31	$9,140,965
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$235,495
Expenses. Other expenses not covered elsewhere	2016-12-31	$866
Other income received	2016-12-31	$1,168,649
Net income (gross income less expenses)	2016-12-31	$458,550
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$9,599,515
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$9,140,965
Assets. Value of participant loans	2016-12-31	$89,420
Assets. Value of real-estate (other than employer real property)	2016-12-31	$0
Total contributions received or receivable from employer(s)	2016-12-31	$76,923
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$865
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$129,868
Expenses. Total of all expenses incurred	2015-12-31	$557,449
Benefits paid (including direct rollovers)	2015-12-31	$555,717
Total plan assets at end of year	2015-12-31	$9,140,965
Total plan assets at beginning of year	2015-12-31	$9,568,546
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$281,070
Expenses. Other expenses not covered elsewhere	2015-12-31	$1,732
Other income received	2015-12-31	$-238,504
Net income (gross income less expenses)	2015-12-31	$-427,581
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$9,140,965
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$9,568,546
Assets. Value of participant loans	2015-12-31	$126,577
Assets. Value of real-estate (other than employer real property)	2015-12-31	$250,000
Total contributions received or receivable from employer(s)	2015-12-31	$87,302
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$880,103
Expenses. Total of all expenses incurred	2014-12-31	$934,073
Benefits paid (including direct rollovers)	2014-12-31	$920,052
Total plan assets at end of year	2014-12-31	$9,568,546
Total plan assets at beginning of year	2014-12-31	$9,622,516
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$261,555
Expenses. Other expenses not covered elsewhere	2014-12-31	$1,659
Contributions received from other sources (not participants or employers)	2014-12-31	$15,857
Other income received	2014-12-31	$524,403
Net income (gross income less expenses)	2014-12-31	$-53,970
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$9,568,546
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$9,622,516
Assets. Value of participant loans	2014-12-31	$165,791
Assets. Value of real-estate (other than employer real property)	2014-12-31	$190,000
Total contributions received or receivable from employer(s)	2014-12-31	$78,288
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$12,362
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$2,627,004
Expenses. Total of all expenses incurred	2013-12-31	$181,822
Benefits paid (including direct rollovers)	2013-12-31	$150,756
Total plan assets at end of year	2013-12-31	$9,622,516
Total plan assets at beginning of year	2013-12-31	$7,177,334
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$233,660
Expenses. Other expenses not covered elsewhere	2013-12-31	$1,631
Contributions received from other sources (not participants or employers)	2013-12-31	$974
Other income received	2013-12-31	$2,202,057
Net income (gross income less expenses)	2013-12-31	$2,445,182
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$9,622,516
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$7,177,334
Assets. Value of participant loans	2013-12-31	$194,157
Assets. Value of real-estate (other than employer real property)	2013-12-31	$195,000
Total contributions received or receivable from employer(s)	2013-12-31	$190,313
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$29,435
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,176,095
Expenses. Total of all expenses incurred	2012-12-31	$843,207
Benefits paid (including direct rollovers)	2012-12-31	$841,194
Total plan assets at end of year	2012-12-31	$7,177,334
Total plan assets at beginning of year	2012-12-31	$6,844,446
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$63,052
Expenses. Other expenses not covered elsewhere	2012-12-31	$1,593
Contributions received from other sources (not participants or employers)	2012-12-31	$3,092
Other income received	2012-12-31	$874,382
Net income (gross income less expenses)	2012-12-31	$332,888
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$7,177,334
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$6,844,446
Assets. Value of participant loans	2012-12-31	$169,812
Assets. Value of real-estate (other than employer real property)	2012-12-31	$205,000
Total contributions received or receivable from employer(s)	2012-12-31	$235,569
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$420
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2011 401k financial data
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$393,416
Expenses. Total of all expenses incurred	2011-12-31	$321,892
Benefits paid (including direct rollovers)	2011-12-31	$320,208
Total plan assets at end of year	2011-12-31	$6,844,446
Total plan assets at beginning of year	2011-12-31	$6,772,922
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$247,883
Expenses. Other expenses not covered elsewhere	2011-12-31	$1,558
Contributions received from other sources (not participants or employers)	2011-12-31	$126,282
Other income received	2011-12-31	$-92,707
Net income (gross income less expenses)	2011-12-31	$71,524
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$6,844,446
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$6,772,922
Assets. Value of participant loans	2011-12-31	$146,717
Assets. Value of assets in partnership/joint-venture interests	2011-12-31	$0
Assets. Value of real-estate (other than employer real property)	2011-12-31	$190,000
Total contributions received or receivable from employer(s)	2011-12-31	$111,958
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$126
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT 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	$1,445,688
Expenses. Total of all expenses incurred	2010-12-31	$55,527
Benefits paid (including direct rollovers)	2010-12-31	$43,783
Total plan assets at end of year	2010-12-31	$6,772,922
Total plan assets at beginning of year	2010-12-31	$5,382,761
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$250,802
Expenses. Other expenses not covered elsewhere	2010-12-31	$1,514
Contributions received from other sources (not participants or employers)	2010-12-31	$145,799
Other income received	2010-12-31	$942,610
Net income (gross income less expenses)	2010-12-31	$1,390,161
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$6,772,922
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$5,382,761
Assets. Value of participant loans	2010-12-31	$171,897
Assets. Value of assets in partnership/joint-venture interests	2010-12-31	$115,000
Assets. Value of real-estate (other than employer real property)	2010-12-31	$180,000
Total contributions received or receivable from employer(s)	2010-12-31	$106,477
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$10,230
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN

2019: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT 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	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT 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: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT 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: BROKER DEALER FINANCIAL SERVICES CORP. 401(K) RETIREMENT 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:	BROKER DEALER FINANCIAL SERVICES CORP.
Employer identification number (EIN):	421130227
NAIC Classification:	551112
NAIC Description:	Offices of Other Holding Companies

Jurisdiction of Incorporation:	Iowa Secretary of State Business Entities
Incorporation Date:	1979-09-14
Company Identification Number:	040218
Legal Registered Office Address:	6775 BOONEVILLE ROAD WEST DES MOINES United States of America (USA) 50266