401k Plan data: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST plan

TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 401k Plan overview

Plan Name	TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST
Plan identification number	001

TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 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.
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

TEJAS SECURITIES GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: TEJAS SECURITIES GROUP, INC.

Employer identification number (EIN): 742696352

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 GREGORY WOODBY
001 2009-01-01 GREGORY WOODBY
001 2008-01-01 GREG WOODBY
001 2007-01-01 GREG WOODBY
001 2006-01-01 GREG WOODBY

Plan id#	Filing Submission Date	Name of Administrator
001	2011-01-01	GREGORY WOODBY
001	2009-01-01	GREGORY WOODBY
001	2008-01-01	GREG WOODBY
001	2007-01-01	GREG WOODBY
001	2006-01-01	GREG WOODBY

Plan Statistics for TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST

401k plan membership statisitcs for TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST

Measure Date Value
2011: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 69
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
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 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 84
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 46
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 37
Total of all active and inactive participants 2009-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 83
Number of participants with account balances 2009-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 16
2008: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2008 401k membership
Total participants, beginning-of-year 2008-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 46
Number of retired or separated participants receiving benefits 2008-01-01 9
Number of other retired or separated participants entitled to future benefits 2008-01-01 26
Total of all active and inactive participants 2008-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 81
Number of participants with account balances 2008-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-01-01 15
2007: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2007 401k membership
Total participants, beginning-of-year 2007-01-01 101
Total number of active participants reported on line 7a of the Form 5500 2007-01-01 69
Number of retired or separated participants receiving benefits 2007-01-01 0
Number of other retired or separated participants entitled to future benefits 2007-01-01 28
Total of all active and inactive participants 2007-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-01-01 0
Total participants 2007-01-01 97
Number of participants with account balances 2007-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-01-01 9
2006: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2006 401k membership
Total participants, beginning-of-year 2006-01-01 90
Total number of active participants reported on line 7a of the Form 5500 2006-01-01 83
Number of retired or separated participants receiving benefits 2006-01-01 0
Number of other retired or separated participants entitled to future benefits 2006-01-01 18
Total of all active and inactive participants 2006-01-01 101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2006-01-01 0
Total participants 2006-01-01 101
Number of participants with account balances 2006-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2006-01-01 0

Measure	Date	Value
2011: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	69
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
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	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	84
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	46
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	37
Total of all active and inactive participants	2009-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	83
Number of participants with account balances	2009-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	16
2008: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2008 401k membership
Total participants, beginning-of-year	2008-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	46
Number of retired or separated participants receiving benefits	2008-01-01	9
Number of other retired or separated participants entitled to future benefits	2008-01-01	26
Total of all active and inactive participants	2008-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	81
Number of participants with account balances	2008-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-01-01	15
2007: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2007 401k membership
Total participants, beginning-of-year	2007-01-01	101
Total number of active participants reported on line 7a of the Form 5500	2007-01-01	69
Number of retired or separated participants receiving benefits	2007-01-01	0
Number of other retired or separated participants entitled to future benefits	2007-01-01	28
Total of all active and inactive participants	2007-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-01-01	0
Total participants	2007-01-01	97
Number of participants with account balances	2007-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-01-01	9
2006: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2006 401k membership
Total participants, beginning-of-year	2006-01-01	90
Total number of active participants reported on line 7a of the Form 5500	2006-01-01	83
Number of retired or separated participants receiving benefits	2006-01-01	0
Number of other retired or separated participants entitled to future benefits	2006-01-01	18
Total of all active and inactive participants	2006-01-01	101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2006-01-01	0
Total participants	2006-01-01	101
Number of participants with account balances	2006-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2006-01-01	0

Financial Data on TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST

Measure	Date	Value
2011 : TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$32,813
Expenses. Total of all expenses incurred	2011-12-31	$1,232,960
Benefits paid (including direct rollovers)	2011-12-31	$1,232,960
Total plan assets at end of year	2011-12-31	$0
Total plan assets at beginning of year	2011-12-31	$1,200,147
Value of fidelity bond covering the plan	2011-12-31	$4,000,000
Total contributions received or receivable from participants	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$32,813
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$-1,200,147
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,200,147
Total contributions received or receivable from employer(s)	2011-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 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	$-217,024
Expenses. Total of all expenses incurred	2010-12-31	$17,241,774
Benefits paid (including direct rollovers)	2010-12-31	$17,241,774
Total plan assets at end of year	2010-12-31	$1,200,147
Total plan assets at beginning of year	2010-12-31	$18,658,945
Value of fidelity bond covering the plan	2010-12-31	$4,000,000
Total contributions received or receivable from participants	2010-12-31	$201,876
Other income received	2010-12-31	$-514,479
Net income (gross income less expenses)	2010-12-31	$-17,458,798
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,200,147
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$18,658,945
Assets. Value of participant loans	2010-12-31	$0
Assets. Value of real-estate (other than employer real property)	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$95,579
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 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 TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST

2011: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 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	Yes
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
2009: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 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
2008: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes
2007: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	Yes
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes
2006: TEJAS SECURITIES GROUP, INC. 401K PLAN AND TRUST 2006 form 5500 responses
2006-01-01	Type of plan entity	Single employer plan
2006-01-01	Submission has been amended	Yes
2006-01-01	This submission is the final filing	No
2006-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2006-01-01	Plan is a collectively bargained plan	No
2006-01-01	Plan funding arrangement – Trust	Yes
2006-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	TEJAS SECURITIES GROUP, INC.
Employer identification number (EIN):	742696352
NAIC Classification:	523120
NAIC Description:	Securities Brokerage