401k Plan data: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN plan

BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Stock bonus Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP. The employer maintaining this ESOP is an S Corporation Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

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. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2019-01-01 MICHAEL T. SHERZAN 2020-07-23 MICHAEL T. SHERZAN 2020-07-23
002 2018-01-01 MICHAEL T. SHERZAN 2019-10-04 MICHAEL T. SHERZAN 2019-10-04
002 2017-01-01
002 2016-01-01
002 2015-01-01
002 2015-01-01
002 2014-01-01
002 2014-01-01
002 2013-01-01 MICHAEL SHERZAN
002 2012-01-01 MICHAEL T. SHERZAN
002 2011-01-01 MICHAEL T. SHERZAN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2019-01-01	MICHAEL T. SHERZAN	2020-07-23	MICHAEL T. SHERZAN	2020-07-23
002	2018-01-01	MICHAEL T. SHERZAN	2019-10-04	MICHAEL T. SHERZAN	2019-10-04
002	2017-01-01
002	2016-01-01
002	2015-01-01
002	2015-01-01
002	2014-01-01
002	2014-01-01
002	2013-01-01	MICHAEL SHERZAN
002	2012-01-01	MICHAEL T. SHERZAN
002	2011-01-01	MICHAEL T. SHERZAN

Plan Statistics for BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2019: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 48
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. EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 48
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 48
Total of all active and inactive participants 2018-01-01 48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 48
Number of participants with account balances 2018-01-01 48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 31
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 13
Total of all active and inactive participants 2017-01-01 44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 44
Number of participants with account balances 2017-01-01 44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 5
2016: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 59
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 35
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 23
Total of all active and inactive participants 2016-01-01 59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 59
Number of participants with account balances 2016-01-01 59
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 13
2015: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 53
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 43
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 7
Total of all active and inactive participants 2015-01-01 50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 50
Number of participants with account balances 2015-01-01 50
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. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 41
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 6
Total of all active and inactive participants 2014-01-01 47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 47
Number of participants with account balances 2014-01-01 47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 48
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 38
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 9
Total of all active and inactive participants 2013-01-01 47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 47
Number of participants with account balances 2013-01-01 47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 6
2012: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 42
Number of other retired or separated participants entitled to future benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 44
Number of participants with account balances 2012-01-01 44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2
2011: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 39
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 41
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 41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 41
Number of participants with account balances 2011-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2019: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	48
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. EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	48
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	48
Total of all active and inactive participants	2018-01-01	48
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	48
Number of participants with account balances	2018-01-01	48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	31
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	13
Total of all active and inactive participants	2017-01-01	44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	44
Number of participants with account balances	2017-01-01	44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	5
2016: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	59
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	35
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	23
Total of all active and inactive participants	2016-01-01	59
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	59
Number of participants with account balances	2016-01-01	59
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	13
2015: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	53
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	43
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	7
Total of all active and inactive participants	2015-01-01	50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	50
Number of participants with account balances	2015-01-01	50
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. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	41
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	6
Total of all active and inactive participants	2014-01-01	47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	47
Number of participants with account balances	2014-01-01	47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	48
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	38
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	9
Total of all active and inactive participants	2013-01-01	47
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	47
Number of participants with account balances	2013-01-01	47
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	6
2012: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	42
Number of other retired or separated participants entitled to future benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	44
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	44
Number of participants with account balances	2012-01-01	44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2
2011: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	39
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	41
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	41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	41
Number of participants with account balances	2011-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2019 : BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k financial data
Total plan liabilities at end of year	2019-12-31	$0
Total plan liabilities at beginning of year	2019-12-31	$0
Total income from all sources	2019-12-31	$0
Expenses. Total of all expenses incurred	2019-12-31	$210,066
Benefits paid (including direct rollovers)	2019-12-31	$210,066
Total plan assets at end of year	2019-12-31	$0
Total plan assets at beginning of year	2019-12-31	$210,066
Value of fidelity bond covering the plan	2019-12-31	$500,000
Net income (gross income less expenses)	2019-12-31	$-210,066
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$210,066
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k financial data
Total plan liabilities at end of year	2018-12-31	$0
Total plan liabilities at beginning of year	2018-12-31	$372,386
Total income from all sources	2018-12-31	$149
Expenses. Total of all expenses incurred	2018-12-31	$1,309
Benefits paid (including direct rollovers)	2018-12-31	$324
Total plan assets at end of year	2018-12-31	$210,066
Total plan assets at beginning of year	2018-12-31	$583,612
Value of fidelity bond covering the plan	2018-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2018-12-31	$985
Other income received	2018-12-31	$149
Net income (gross income less expenses)	2018-12-31	$-1,160
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$210,066
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$211,226
Assets. Value of employer securities	2018-12-31	$0
Total contributions received or receivable from employer(s)	2018-12-31	$0
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. EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k financial data
Total plan liabilities at end of year	2017-12-31	$372,386
Total plan liabilities at beginning of year	2017-12-31	$432,179
Total income from all sources	2017-12-31	$98,540
Expenses. Total of all expenses incurred	2017-12-31	$72,800
Benefits paid (including direct rollovers)	2017-12-31	$52,220
Total plan assets at end of year	2017-12-31	$583,612
Total plan assets at beginning of year	2017-12-31	$617,665
Value of fidelity bond covering the plan	2017-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2017-12-31	$20,580
Other income received	2017-12-31	$6,136
Net income (gross income less expenses)	2017-12-31	$25,740
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$211,226
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$185,486
Assets. Value of employer securities	2017-12-31	$582,776
Total contributions received or receivable from employer(s)	2017-12-31	$92,404
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. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Total plan liabilities at end of year	2016-12-31	$432,179
Total plan liabilities at beginning of year	2016-12-31	$410,621
Total income from all sources	2016-12-31	$94,846
Expenses. Total of all expenses incurred	2016-12-31	$21,775
Benefits paid (including direct rollovers)	2016-12-31	$218
Total plan assets at end of year	2016-12-31	$617,665
Total plan assets at beginning of year	2016-12-31	$523,036
Value of fidelity bond covering the plan	2016-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2016-12-31	$21,557
Other income received	2016-12-31	$54,660
Net income (gross income less expenses)	2016-12-31	$73,071
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$185,486
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$112,415
Assets. Value of employer securities	2016-12-31	$576,641
Total contributions received or receivable from employer(s)	2016-12-31	$40,186
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. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$410,621
Total plan liabilities at beginning of year	2015-12-31	$428,516
Total income from all sources	2015-12-31	$31,320
Expenses. Total of all expenses incurred	2015-12-31	$22,942
Benefits paid (including direct rollovers)	2015-12-31	$455
Total plan assets at end of year	2015-12-31	$542,584
Total plan assets at beginning of year	2015-12-31	$552,101
Value of fidelity bond covering the plan	2015-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2015-12-31	$22,487
Other income received	2015-12-31	$31,320
Net income (gross income less expenses)	2015-12-31	$8,378
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$131,963
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$123,585
Assets. Value of employer securities	2015-12-31	$542,433
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. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$428,516
Total plan liabilities at beginning of year	2014-12-31	$445,137
Total income from all sources	2014-12-31	$45,989
Expenses. Total of all expenses incurred	2014-12-31	$25,760
Benefits paid (including direct rollovers)	2014-12-31	$2,390
Total plan assets at end of year	2014-12-31	$596,082
Total plan assets at beginning of year	2014-12-31	$592,474
Value of fidelity bond covering the plan	2014-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$23,370
Other income received	2014-12-31	$45,989
Net income (gross income less expenses)	2014-12-31	$20,229
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$167,566
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$147,337
Assets. Value of employer securities	2014-12-31	$586,414
Total contributions received or receivable from employer(s)	2014-12-31	$0
2013 : BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$445,137
Total plan liabilities at beginning of year	2013-12-31	$461,115
Total income from all sources	2013-12-31	$168,416
Expenses. Total of all expenses incurred	2013-12-31	$24,208
Total plan assets at end of year	2013-12-31	$592,474
Total plan assets at beginning of year	2013-12-31	$464,244
Value of fidelity bond covering the plan	2013-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2013-12-31	$24,208
Other income received	2013-12-31	$130,502
Net income (gross income less expenses)	2013-12-31	$144,208
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$147,337
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,129
Assets. Value of employer securities	2013-12-31	$586,414
Total contributions received or receivable from employer(s)	2013-12-31	$37,914
2012 : BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$461,115
Total plan liabilities at beginning of year	2012-12-31	$476,296
Total income from all sources	2012-12-31	$-49,405
Expenses. Total of all expenses incurred	2012-12-31	$25,006
Total plan assets at end of year	2012-12-31	$464,244
Total plan assets at beginning of year	2012-12-31	$553,836
Value of fidelity bond covering the plan	2012-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$25,006
Other income received	2012-12-31	$-68,901
Net income (gross income less expenses)	2012-12-31	$-74,411
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,129
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$77,540
Assets. Value of employer securities	2012-12-31	$464,244
Total contributions received or receivable from employer(s)	2012-12-31	$19,496
2011 : BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$476,296
Total income from all sources	2011-12-31	$102,438
Expenses. Total of all expenses incurred	2011-12-31	$24,898
Total plan assets at end of year	2011-12-31	$553,836
Value of fidelity bond covering the plan	2011-12-31	$500,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$24,898
Other income received	2011-12-31	$102,438
Net income (gross income less expenses)	2011-12-31	$77,540
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$77,540
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$0
Assets. Value of employer securities	2011-12-31	$553,836
Total contributions received or receivable from employer(s)	2011-12-31	$0

Form 5500 Responses for BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP PLAN

2019: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP 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)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: BROKER DEALER FINANCIAL SERVICES CORP. EMPLOYEE STOCK OWNERSHIP 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. EMPLOYEE STOCK OWNERSHIP 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. EMPLOYEE STOCK OWNERSHIP 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. EMPLOYEE STOCK OWNERSHIP 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. EMPLOYEE STOCK OWNERSHIP 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. EMPLOYEE STOCK OWNERSHIP 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. EMPLOYEE STOCK OWNERSHIP 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. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	First time form 5500 has been submitted	Yes
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

Was this data useful?

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

Information Disclaimer

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

See full terms and conditions

Company Name:	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