401k Plan data: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN plan

ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING 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.
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

ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. has sponsored the creation of one or more 401k plans.

Company Name: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC.

Employer identification number (EIN): 593615186

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01 MELODY MCCOY 2020-02-18 MELODY MCCOY 2020-02-18
001 2018-01-01 MELODY MCCOY 2020-01-10 MELODY MCCOY 2020-01-10
001 2017-01-01
001 2016-01-01 MELODY MCCOY 2017-08-18 MELODY MCCOY 2017-08-18

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01	MELODY MCCOY	2020-02-18	MELODY MCCOY	2020-02-18
001	2018-01-01	MELODY MCCOY	2020-01-10	MELODY MCCOY	2020-01-10
001	2017-01-01
001	2016-01-01	MELODY MCCOY	2017-08-18	MELODY MCCOY	2017-08-18

Plan Statistics for ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2019: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 140
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: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 98
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 42
Total of all active and inactive participants 2018-01-01 140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 140
Number of participants with account balances 2018-01-01 114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 28

Measure	Date	Value
2019: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	140
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: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	98
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	42
Total of all active and inactive participants	2018-01-01	140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	140
Number of participants with account balances	2018-01-01	114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	28

Financial Data on ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2019 : ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-04-22	$0
Total transfer of assets from this plan	2019-04-22	$395,386
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-04-22	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-04-22	$855
Total income from all sources (including contributions)	2019-04-22	$30,088
Total loss/gain on sale of assets	2019-04-22	$0
Total of all expenses incurred	2019-04-22	$440
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-04-22	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-04-22	$0
Value of total assets at end of year	2019-04-22	$0
Value of total assets at beginning of year	2019-04-22	$366,593
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-04-22	$440
Total interest from all sources	2019-04-22	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-04-22	$508
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-04-22	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2019-04-22	$0
Total dividends received from registered investment company shares (eg mutual funds)	2019-04-22	$508
Was this plan covered by a fidelity bond	2019-04-22	Yes
Value of fidelity bond cover	2019-04-22	$25,000
If this is an individual account plan, was there a blackout period	2019-04-22	Yes
Were there any nonexempt tranactions with any party-in-interest	2019-04-22	No
Contributions received from participants	2019-04-22	$0
Participant contributions at end of year	2019-04-22	$0
Participant contributions at beginning of year	2019-04-22	$1,664
Income. Received or receivable in cash from other sources (including rollovers)	2019-04-22	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-04-22	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-04-22	$855
Administrative expenses (other) incurred	2019-04-22	$0
Total non interest bearing cash at end of year	2019-04-22	$0
Total non interest bearing cash at beginning of year	2019-04-22	$5,705
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-04-22	No
Value of net income/loss	2019-04-22	$29,648
Value of net assets at end of year (total assets less liabilities)	2019-04-22	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-04-22	$365,738
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-04-22	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-04-22	No
Were any leases to which the plan was party in default or uncollectible	2019-04-22	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-04-22	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-04-22	$287,073
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-04-22	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-04-22	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-04-22	$29,580
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-04-22	No
Was there a failure to transmit to the plan any participant contributions	2019-04-22	No
Has the plan failed to provide any benefit when due under the plan	2019-04-22	No
Contributions received in cash from employer	2019-04-22	$0
Employer contributions (assets) at end of year	2019-04-22	$0
Employer contributions (assets) at beginning of year	2019-04-22	$72,151
Contract administrator fees	2019-04-22	$440
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-04-22	Yes
Did the plan have assets held for investment	2019-04-22	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-04-22	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-04-22	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-04-22	Yes
Opinion of an independent qualified public accountant for this plan	2019-04-22	Disclaimer
Accountancy firm name	2019-04-22	PDR CPAS ADVISORS INC
Accountancy firm EIN	2019-04-22	591687531
2018 : ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$855
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$131,393
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$62,253
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$59,903
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$145,721
Value of total assets at end of year	2018-12-31	$366,593
Value of total assets at beginning of year	2018-12-31	$296,598
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,350
Total interest from all sources	2018-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$15,309
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$25,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$82,178
Participant contributions at end of year	2018-12-31	$1,664
Participant contributions at beginning of year	2018-12-31	$670
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$855
Administrative expenses (other) incurred	2018-12-31	$0
Total non interest bearing cash at end of year	2018-12-31	$5,705
Total non interest bearing cash at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$69,140
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$365,738
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$296,598
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$287,073
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$233,950
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-29,637
Net investment gain/loss from pooled separate accounts	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$63,543
Employer contributions (assets) at end of year	2018-12-31	$72,151
Employer contributions (assets) at beginning of year	2018-12-31	$61,978
Income. Dividends from common stock	2018-12-31	$15,309
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$59,903
Contract administrator fees	2018-12-31	$2,350
Liabilities. Value of benefit claims payable at end of year	2018-12-31	$0
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	PDR CPAS ADVISORS INC
Accountancy firm EIN	2018-12-31	591687531

Form 5500 Responses for ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING PLAN

2019: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING 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: ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC. 401(K) PROFIT SHARING 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

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Company Name:	ALLIANCE AND ASSOCIATES FINANCIAL SERVICES, INC.
Employer identification number (EIN):	593615186
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages