401k Plan data: CAPITAL FINANCIAL HOLDINGS, INC. 401(K) PLAN plan

CAPITAL FINANCIAL HOLDINGS, INC. 401(K) PLAN 401k Plan overview

Plan Name	CAPITAL FINANCIAL HOLDINGS, INC. 401(K) PLAN
Plan identification number	001

CAPITAL FINANCIAL HOLDINGS, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.

401k Sponsoring company profile

CAPITAL FINANCIAL HOLDINGS, INC. has sponsored the creation of one or more 401k plans.

Company Name: CAPITAL FINANCIAL HOLDINGS, INC.

Employer identification number (EIN): 450404061

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about CAPITAL FINANCIAL HOLDINGS, INC.

Jurisdiction of Incorporation: Florida Department of State Division of Corporations

Incorporation Date: 2008-10-01

Company Identification Number: P08000089741

Legal Registered Office Address: HENSCHEL & BEINHAKER, P.A.

HOLLYWOOD

33021

More information about CAPITAL FINANCIAL HOLDINGS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPITAL FINANCIAL HOLDINGS, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 CARINA KOBLE 2024-10-28
001 2021-01-01 CARINA KOBLE 2022-05-20
001 2020-01-01 CARINA KOBLE 2021-10-07
001 2019-01-01 JOANNE CHRISTIANSON 2020-07-21
001 2018-01-01 CARINA KOBLE 2019-08-13
001 2017-01-01 CHARLENE FOWLER 2018-06-13
001 2016-01-01 ELIZABETH COLBY 2017-06-06
001 2015-01-01 ELIZABETH REDDING 2016-05-31
001 2014-01-01 ELIZABETH REDDING 2015-07-14
001 2013-01-01 ELIZABETH REDDING 2014-07-14
001 2012-01-01 JENNIFER ANDRUS 2013-06-06
001 2011-01-01 CHARLENE FOWLER 2012-06-18
001 2010-01-01 JACKIE CASE 2011-06-20

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	CARINA KOBLE	2024-10-28
001	2021-01-01	CARINA KOBLE	2022-05-20
001	2020-01-01	CARINA KOBLE	2021-10-07
001	2019-01-01	JOANNE CHRISTIANSON	2020-07-21
001	2018-01-01	CARINA KOBLE	2019-08-13
001	2017-01-01	CHARLENE FOWLER	2018-06-13
001	2016-01-01	ELIZABETH COLBY	2017-06-06
001	2015-01-01	ELIZABETH REDDING	2016-05-31
001	2014-01-01	ELIZABETH REDDING	2015-07-14
001	2013-01-01	ELIZABETH REDDING	2014-07-14
001	2012-01-01	JENNIFER ANDRUS	2013-06-06
001	2011-01-01	CHARLENE FOWLER	2012-06-18
001	2010-01-01	JACKIE CASE	2011-06-20

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Company Name:	CAPITAL FINANCIAL HOLDINGS, INC.
Employer identification number (EIN):	450404061
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	Florida Department of State Division of Corporations
Incorporation Date:	2008-10-01
Company Identification Number:	P08000089741
Legal Registered Office Address:	HENSCHEL & BEINHAKER, P.A. HOLLYWOOD 33021