401k Plan data: UNITED CAPITAL MARKETS, INC. 401(K) PLAN plan

UNITED CAPITAL MARKETS, INC. 401(K) PLAN 401k Plan overview

Plan Name	UNITED CAPITAL MARKETS, INC. 401(K) PLAN
Plan identification number	001

UNITED CAPITAL MARKETS, INC. 401(K) PLAN 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

UNITED CAPITAL MARKETS, INC. has sponsored the creation of one or more 401k plans.

Company Name: UNITED CAPITAL MARKETS, INC.

Employer identification number (EIN): 841368012

NAIC Classification: 523900

Additional information about UNITED CAPITAL MARKETS, INC.

Jurisdiction of Incorporation: Colorado Department of State

Incorporation Date: 1996-11-12

Company Identification Number: 19961146728

Legal Registered Office Address: 5655 S Yosemite St Ste 490

Greenwood Village
United States of America (USA)
80111

More information about UNITED CAPITAL MARKETS, INC.

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 JUSTIN RAMIREZ 2024-10-01
001 2022-01-01 ALEXANDER JACOBSEN 2023-10-10
001 2021-01-01 ALEXANDER JACOBSEN 2022-08-15
001 2020-01-01 CINDY BLOCH 2021-09-14
001 2019-01-01 CINDY BLOCH 2020-07-23
001 2018-01-01 TAYLOR MATTHEWS 2019-07-31
001 2017-01-01 DAVID STEPHENS 2018-06-13
001 2016-01-01 DAVID STEPHENS 2017-06-05
001 2015-01-01 DAVID STEPHENS
001 2014-01-01 DAVID STEPHENS
001 2013-01-01 DAVID STEPHENS
001 2012-01-01 BONNIE KITT
001 2011-01-01 BONNIE KITT 2012-06-25
001 2010-01-01 BONNIE KITT 2011-07-01

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2023-01-01	JUSTIN RAMIREZ	2024-10-01
001	2022-01-01	ALEXANDER JACOBSEN	2023-10-10
001	2021-01-01	ALEXANDER JACOBSEN	2022-08-15
001	2020-01-01	CINDY BLOCH	2021-09-14
001	2019-01-01	CINDY BLOCH	2020-07-23
001	2018-01-01	TAYLOR MATTHEWS	2019-07-31
001	2017-01-01	DAVID STEPHENS	2018-06-13
001	2016-01-01	DAVID STEPHENS	2017-06-05
001	2015-01-01	DAVID STEPHENS
001	2014-01-01	DAVID STEPHENS
001	2013-01-01	DAVID STEPHENS
001	2012-01-01	BONNIE KITT
001	2011-01-01	BONNIE KITT	2012-06-25
001	2010-01-01	BONNIE KITT	2011-07-01

Plan Statistics for UNITED CAPITAL MARKETS, INC. 401(K) PLAN

401k plan membership statisitcs for UNITED CAPITAL MARKETS, INC. 401(K) PLAN

Measure Date Value
2015: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 5
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 0
Total of all active and inactive participants 2015-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 5
Number of participants with account balances 2015-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 5
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 0
Total of all active and inactive participants 2014-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 5
Number of participants with account balances 2014-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 5
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 0
Total of all active and inactive participants 2013-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 5
Number of participants with account balances 2013-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 5
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 0
Total of all active and inactive participants 2012-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 5
Number of participants with account balances 2012-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2015: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	5
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	0
Total of all active and inactive participants	2015-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	5
Number of participants with account balances	2015-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	5
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	0
Total of all active and inactive participants	2014-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	5
Number of participants with account balances	2014-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5
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	0
Total of all active and inactive participants	2013-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	5
Number of participants with account balances	2013-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	5
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	0
Total of all active and inactive participants	2012-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	5
Number of participants with account balances	2012-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on UNITED CAPITAL MARKETS, INC. 401(K) PLAN

Measure	Date	Value
2015 : UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$500,102
Expenses. Total of all expenses incurred	2015-12-31	$41,041
Benefits paid (including direct rollovers)	2015-12-31	$20,839
Total plan assets at end of year	2015-12-31	$1,894,862
Total plan assets at beginning of year	2015-12-31	$1,435,801
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$127,216
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$322,653
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$459,061
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,894,862
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,435,801
Total contributions received or receivable from employer(s)	2015-12-31	$50,233
Value of certain deemed distributions of participant loans	2015-12-31	$19,746
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$456
2014 : UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$224,518
Expenses. Total of all expenses incurred	2014-12-31	$100
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$1,435,801
Total plan assets at beginning of year	2014-12-31	$1,211,383
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$84,084
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$105,267
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$224,418
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,435,801
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,211,383
Total contributions received or receivable from employer(s)	2014-12-31	$35,167
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$100
2013 : UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$1,427
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$311,042
Expenses. Total of all expenses incurred	2013-12-31	$100
Benefits paid (including direct rollovers)	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$1,211,383
Total plan assets at beginning of year	2013-12-31	$899,014
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$104,000
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$163,292
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$310,942
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,211,383
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$899,014
Total contributions received or receivable from employer(s)	2013-12-31	$43,750
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$100
2012 : UNITED CAPITAL MARKETS, INC. 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$245,004
Expenses. Total of all expenses incurred	2012-12-31	$290,721
Benefits paid (including direct rollovers)	2012-12-31	$290,696
Total plan assets at end of year	2012-12-31	$899,014
Total plan assets at beginning of year	2012-12-31	$944,731
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$96,500
Other income received	2012-12-31	$108,504
Net income (gross income less expenses)	2012-12-31	$-45,717
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$899,014
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$944,731
Total contributions received or receivable from employer(s)	2012-12-31	$40,000
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$25
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0

Form 5500 Responses for UNITED CAPITAL MARKETS, INC. 401(K) PLAN

2015: UNITED CAPITAL MARKETS, INC. 401(K) 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: UNITED CAPITAL MARKETS, INC. 401(K) 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: UNITED CAPITAL MARKETS, INC. 401(K) 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: UNITED CAPITAL MARKETS, INC. 401(K) 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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UNITED CAPITAL MARKETS, INC.
Employer identification number (EIN):	841368012
NAIC Classification:	523900

Jurisdiction of Incorporation:	Colorado Department of State
Incorporation Date:	1996-11-12
Company Identification Number:	19961146728
Legal Registered Office Address:	5655 S Yosemite St Ste 490 Greenwood Village United States of America (USA) 80111