GOLDBERG & FINNEGAN, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan GOLDBERG & FINNEGAN, LLC 401(K)
| Measure | Date | Value |
|---|
| 2012: GOLDBERG & FINNEGAN, LLC 401(K) 2012 401k membership |
|---|
| Total participants, beginning-of-year | 2012-01-01 | 19 |
| Total number of active participants reported on line 7a of the Form 5500 | 2012-01-01 | 11 |
| 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 | 22 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-01-01 | 0 |
| Total participants | 2012-01-01 | 22 |
| Number of participants with account balances | 2012-01-01 | 11 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-01-01 | 9 |
| 2011: GOLDBERG & FINNEGAN, LLC 401(K) 2011 401k membership |
|---|
| Total participants, beginning-of-year | 2011-01-01 | 23 |
| Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 9 |
| 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 | 11 |
| Total of all active and inactive participants | 2011-01-01 | 20 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-01-01 | 0 |
| Total participants | 2011-01-01 | 20 |
| Number of participants with account balances | 2011-01-01 | 20 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-01-01 | 0 |
| 2010: GOLDBERG & FINNEGAN, LLC 401(K) 2010 401k membership |
|---|
| Total participants, beginning-of-year | 2010-01-01 | 19 |
| Total number of active participants reported on line 7a of the Form 5500 | 2010-01-01 | 11 |
| 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 | 6 |
| Total of all active and inactive participants | 2010-01-01 | 17 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2010-01-01 | 0 |
| Total participants | 2010-01-01 | 17 |
| Number of participants with account balances | 2010-01-01 | 17 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2010-01-01 | 0 |
| Measure | Date | Value |
|---|
| 2012 : GOLDBERG & FINNEGAN, LLC 401(K) 2012 401k financial data |
|---|
| Transfers to/from the plan | 2012-12-31 | $0 |
| Total income from all sources | 2012-12-31 | $241,883 |
| Expenses. Total of all expenses incurred | 2012-12-31 | $24,062 |
| Benefits paid (including direct rollovers) | 2012-12-31 | $23,674 |
| Total plan assets at end of year | 2012-12-31 | $1,028,546 |
| Total plan assets at beginning of year | 2012-12-31 | $810,725 |
| Value of fidelity bond covering the plan | 2012-12-31 | $50,000 |
| Total contributions received or receivable from participants | 2012-12-31 | $102,302 |
| Expenses. Other expenses not covered elsewhere | 2012-12-31 | $388 |
| Contributions received from other sources (not participants or employers) | 2012-12-31 | $0 |
| Other income received | 2012-12-31 | $106,267 |
| Net income (gross income less expenses) | 2012-12-31 | $217,821 |
| Net plan assets at end of year (total assets less liabilities) | 2012-12-31 | $1,028,546 |
| Net plan assets at beginning of year (total assets less liabilities) | 2012-12-31 | $810,725 |
| Assets. Value of participant loans | 2012-12-31 | $0 |
| Total contributions received or receivable from employer(s) | 2012-12-31 | $33,314 |
| Value of certain deemed distributions of participant loans | 2012-12-31 | $0 |
| Value of corrective distributions | 2012-12-31 | $0 |
| Funding deficiency by the employer to the plan for this plan year | 2012-12-31 | $0 |
| Minimum employer required contribution for this plan year | 2012-12-31 | $0 |
| Amount contributed by the employer to the plan for this plan year | 2012-12-31 | $0 |
| 2011 : GOLDBERG & FINNEGAN, LLC 401(K) 2011 401k financial data |
|---|
| Transfers to/from the plan | 2011-12-31 | $0 |
| Total income from all sources | 2011-12-31 | $127,425 |
| Expenses. Total of all expenses incurred | 2011-12-31 | $71,056 |
| Benefits paid (including direct rollovers) | 2011-12-31 | $70,696 |
| Total plan assets at end of year | 2011-12-31 | $810,725 |
| Total plan assets at beginning of year | 2011-12-31 | $754,356 |
| Value of fidelity bond covering the plan | 2011-12-31 | $50,000 |
| Total contributions received or receivable from participants | 2011-12-31 | $76,000 |
| Expenses. Other expenses not covered elsewhere | 2011-12-31 | $360 |
| Contributions received from other sources (not participants or employers) | 2011-12-31 | $12,025 |
| Other income received | 2011-12-31 | $-31,100 |
| Net income (gross income less expenses) | 2011-12-31 | $56,369 |
| Net plan assets at end of year (total assets less liabilities) | 2011-12-31 | $810,725 |
| Net plan assets at beginning of year (total assets less liabilities) | 2011-12-31 | $754,356 |
| Assets. Value of participant loans | 2011-12-31 | $0 |
| Total contributions received or receivable from employer(s) | 2011-12-31 | $70,500 |
| Value of certain deemed distributions of participant loans | 2011-12-31 | $0 |
| Value of corrective distributions | 2011-12-31 | $0 |
| Funding deficiency by the employer to the plan for this plan year | 2011-12-31 | $0 |
| Minimum employer required contribution for this plan year | 2011-12-31 | $0 |
| Amount contributed by the employer to the plan for this plan year | 2011-12-31 | $0 |
| 2010 : GOLDBERG & FINNEGAN, LLC 401(K) 2010 401k financial data |
|---|
| Total income from all sources | 2010-12-31 | $349,799 |
| Expenses. Total of all expenses incurred | 2010-12-31 | $5,949 |
| Benefits paid (including direct rollovers) | 2010-12-31 | $5,801 |
| Total plan assets at end of year | 2010-12-31 | $754,356 |
| Total plan assets at beginning of year | 2010-12-31 | $410,506 |
| Value of fidelity bond covering the plan | 2010-12-31 | $50,000 |
| Total contributions received or receivable from participants | 2010-12-31 | $100,925 |
| Expenses. Other expenses not covered elsewhere | 2010-12-31 | $148 |
| Contributions received from other sources (not participants or employers) | 2010-12-31 | $0 |
| Other income received | 2010-12-31 | $77,203 |
| Net income (gross income less expenses) | 2010-12-31 | $343,850 |
| Net plan assets at end of year (total assets less liabilities) | 2010-12-31 | $754,356 |
| Net plan assets at beginning of year (total assets less liabilities) | 2010-12-31 | $410,506 |
| Assets. Value of participant loans | 2010-12-31 | $0 |
| Total contributions received or receivable from employer(s) | 2010-12-31 | $171,671 |
| Value of certain deemed distributions of participant loans | 2010-12-31 | $0 |
| Value of corrective distributions | 2010-12-31 | $0 |
| Funding deficiency by the employer to the plan for this plan year | 2010-12-31 | $0 |
| Minimum employer required contribution for this plan year | 2010-12-31 | $0 |
| Amount contributed by the employer to the plan for this plan year | 2010-12-31 | $0 |
| 2012: GOLDBERG & FINNEGAN, LLC 401(K) 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 – Insurance | Yes |
| 2012-01-01 | Plan funding arrangement – Trust | Yes |
| 2012-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2011: GOLDBERG & FINNEGAN, LLC 401(K) 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 – Insurance | Yes |
| 2011-01-01 | Plan funding arrangement – Trust | Yes |
| 2011-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2010: GOLDBERG & FINNEGAN, LLC 401(K) 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 – Insurance | Yes |
| 2010-01-01 | Plan funding arrangement – Trust | Yes |
| 2010-01-01 | Plan benefit arrangement – Insurance | Yes |
| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-821189 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-821189 | | Number of Individuals Covered | 11 | | Insurance policy start date | 2012-01-01 | | Insurance policy end date | 2012-12-31 | | Total amount of commissions paid to insurance broker | USD $1,739 | | Total amount of fees paid to insurance company | USD $254 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | | Contracts With Unallocated Funds Deposit Administration | 0 | | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | | Health Insurance Welfare Benefit | No | | Dental Insurance Welfare Benefit | No | | Vision Insurance Welfare Benefit | No | | Life Insurance Welfare Benefit | No | | Temporary Disability Insurance Welfare Benefit | No | | Long Term Disability Insurance Welfare Benefit | No | | Unemployment Insurance Welfare Benefit | No | | Were dividends or retroactive rate refunds paid in cash? | No | | Were dividends or retroactive rate refunds paid as a credit? | No | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | | Commission paid to Insurance Broker | USD $1,739 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 254 | | Additional information about fees paid to insurance broker | SALES/MARKETING | | Insurance broker name | AMERIPRISE FINANCIAL SERVICES INC |
|
| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-821189 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-821189 | | Number of Individuals Covered | 20 | | Insurance policy start date | 2011-01-01 | | Insurance policy end date | 2011-12-31 | | Total amount of commissions paid to insurance broker | USD $1,022 | | Total amount of fees paid to insurance company | USD $274 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | | Contracts With Unallocated Funds Deposit Administration | 0 | | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | | Health Insurance Welfare Benefit | No | | Dental Insurance Welfare Benefit | No | | Vision Insurance Welfare Benefit | No | | Life Insurance Welfare Benefit | No | | Temporary Disability Insurance Welfare Benefit | No | | Long Term Disability Insurance Welfare Benefit | No | | Unemployment Insurance Welfare Benefit | No | | Were dividends or retroactive rate refunds paid in cash? | No | | Were dividends or retroactive rate refunds paid as a credit? | No | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
|
| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-821189 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-821189 | | Number of Individuals Covered | 17 | | Insurance policy start date | 2010-04-01 | | Insurance policy end date | 2010-12-31 | | Total amount of commissions paid to insurance broker | USD $14,026 | | Total amount of fees paid to insurance company | USD $342 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | | Contracts With Unallocated Funds Deposit Administration | 0 | | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | | Health Insurance Welfare Benefit | No | | Dental Insurance Welfare Benefit | No | | Vision Insurance Welfare Benefit | No | | Life Insurance Welfare Benefit | No | | Temporary Disability Insurance Welfare Benefit | No | | Long Term Disability Insurance Welfare Benefit | No | | Unemployment Insurance Welfare Benefit | No | | Were dividends or retroactive rate refunds paid in cash? | No | | Were dividends or retroactive rate refunds paid as a credit? | No | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | | Commission paid to Insurance Broker | USD $14,026 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 342 | | Additional information about fees paid to insurance broker | SALES/MARKETING | | Insurance broker name | AMERIPRISE FINANCIAL SERVICES INC |
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