401k Plan data: J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN plan

J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN 401k Plan overview

Plan Name	J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN
Plan identification number	004

J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
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

J. R. JAMES BROKERAGE COMPANY, INC. has sponsored the creation of one or more 401k plans.

Company Name: J. R. JAMES BROKERAGE COMPANY, INC.

Employer identification number (EIN): 540678320

NAIC Classification: 424500

Form 5500 Filing Information

Submission information for form 5500 for 401k plan J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2017-01-01 JAMES MOORE 2017-12-07
004 2016-01-01 JAMES MOORE 2017-07-18
004 2015-01-01 JAMES MOORE 2016-05-11
004 2014-01-01 JAMES MOORE 2015-08-07
004 2013-01-01 JAMES MOORE 2014-08-20
004 2012-01-01 JAMES MOORE 2013-09-18
004 2011-01-01 JAMES MOORE 2012-09-28
004 2010-01-01 JAMES MOORE 2011-09-14

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
004	2017-01-01	JAMES MOORE	2017-12-07
004	2016-01-01	JAMES MOORE	2017-07-18
004	2015-01-01	JAMES MOORE	2016-05-11
004	2014-01-01	JAMES MOORE	2015-08-07
004	2013-01-01	JAMES MOORE	2014-08-20
004	2012-01-01	JAMES MOORE	2013-09-18
004	2011-01-01	JAMES MOORE	2012-09-28
004	2010-01-01	JAMES MOORE	2011-09-14

Plan Statistics for J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN

401k plan membership statisitcs for J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN

Measure Date Value
2017: J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets 2017-08-31 1,659,182
Acturial value of plan assets 2017-08-31 1,659,182
Funding target for retired participants and beneficiaries receiving payment 2017-08-31 0
Number of terminated vested participants 2017-08-31 1
Fundng target for terminated vested participants 2017-08-31 18,881
Active participant vested funding target 2017-08-31 1,628,149
Number of active participants 2017-08-31 5
Total funding liabilities for active participants 2017-08-31 1,628,149
Total participant count 2017-08-31 6
Total funding target for all participants 2017-08-31 1,647,030
Balance at beginning of prior year after applicable adjustments 2017-08-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2017-08-31 194,180
Carryover balanced portion elected for use to offset prior years funding requirement 2017-08-31 0
Prefunding balanced used to offset prior years funding requirement 2017-08-31 102,718
Amount remaining of carryover balance 2017-08-31 0
Amount remaining of prefunding balance 2017-08-31 91,462
Present value of excess contributions 2017-08-31 0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2017-08-31 0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2017-08-31 0
Reductions in caryover balances due to elections or deemed elections 2017-08-31 0
Reductions in prefunding balances due to elections or deemed elections 2017-08-31 0
Balance of carryovers at beginning of current year 2017-08-31 0
Balance of prefunding at beginning of current year 2017-08-31 98,202
Contributions allocated toward unpaid minimum require contributions from prior years 2017-08-31 0
Contributions made to avoid restrictions adjusted to valuation date 2017-08-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2017-08-31 0
Unpaid minimum required contributions for all prior years 2017-08-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2017-08-31 0
Remaining amount of unpaid minimum required contributions 2017-08-31 0
Minimum required contributions for current year target normal cost 2017-08-31 0
Net shortfall amortization installment of oustanding balance 2017-08-31 0
Total funding amount beforereflecting carryover/prefunding balances 2017-08-31 0
Carryover balance elected to use to offset funding requirement 2017-08-31 0
Prefunding balance elected to use to offset funding requirement 2017-08-31 0
Additional cash requirement 2017-08-31 0
Contributions allocatedtoward minimum required contributions for current year 2017-08-31 0
Unpaid minimum required contributions for current year 2017-08-31 0
Unpaid minimum required contributions for all years 2017-08-31 0
2016: J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN 2016 401k membership
Market value of plan assets 2016-12-31 1,545,299
Acturial value of plan assets 2016-12-31 1,545,299
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 0
Number of terminated vested participants 2016-12-31 1
Fundng target for terminated vested participants 2016-12-31 19,331
Active participant vested funding target 2016-12-31 1,416,299
Number of active participants 2016-12-31 5
Total funding liabilities for active participants 2016-12-31 1,416,299
Total participant count 2016-12-31 6
Total funding target for all participants 2016-12-31 1,435,630
Balance at beginning of prior year after applicable adjustments 2016-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 193,870
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 0
Amount remaining of carryover balance 2016-12-31 0
Amount remaining of prefunding balance 2016-12-31 193,870
Present value of excess contributions 2016-12-31 0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 0
Balance of prefunding at beginning of current year 2016-12-31 194,180
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 0
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 102,718
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 102,718
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 102,718
Additional cash requirement 2016-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0

Measure	Date	Value
2017: J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets	2017-08-31	1,659,182
Acturial value of plan assets	2017-08-31	1,659,182
Funding target for retired participants and beneficiaries receiving payment	2017-08-31	0
Number of terminated vested participants	2017-08-31	1
Fundng target for terminated vested participants	2017-08-31	18,881
Active participant vested funding target	2017-08-31	1,628,149
Number of active participants	2017-08-31	5
Total funding liabilities for active participants	2017-08-31	1,628,149
Total participant count	2017-08-31	6
Total funding target for all participants	2017-08-31	1,647,030
Balance at beginning of prior year after applicable adjustments	2017-08-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-08-31	194,180
Carryover balanced portion elected for use to offset prior years funding requirement	2017-08-31	0
Prefunding balanced used to offset prior years funding requirement	2017-08-31	102,718
Amount remaining of carryover balance	2017-08-31	0
Amount remaining of prefunding balance	2017-08-31	91,462
Present value of excess contributions	2017-08-31	0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-08-31	0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-08-31	0
Reductions in caryover balances due to elections or deemed elections	2017-08-31	0
Reductions in prefunding balances due to elections or deemed elections	2017-08-31	0
Balance of carryovers at beginning of current year	2017-08-31	0
Balance of prefunding at beginning of current year	2017-08-31	98,202
Contributions allocated toward unpaid minimum require contributions from prior years	2017-08-31	0
Contributions made to avoid restrictions adjusted to valuation date	2017-08-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-08-31	0
Unpaid minimum required contributions for all prior years	2017-08-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-08-31	0
Remaining amount of unpaid minimum required contributions	2017-08-31	0
Minimum required contributions for current year target normal cost	2017-08-31	0
Net shortfall amortization installment of oustanding balance	2017-08-31	0
Total funding amount beforereflecting carryover/prefunding balances	2017-08-31	0
Carryover balance elected to use to offset funding requirement	2017-08-31	0
Prefunding balance elected to use to offset funding requirement	2017-08-31	0
Additional cash requirement	2017-08-31	0
Contributions allocatedtoward minimum required contributions for current year	2017-08-31	0
Unpaid minimum required contributions for current year	2017-08-31	0
Unpaid minimum required contributions for all years	2017-08-31	0
2016: J. R. JAMES BROKERAGE COMPANY, INC. DEFINED BENEFIT PLAN 2016 401k membership
Market value of plan assets	2016-12-31	1,545,299
Acturial value of plan assets	2016-12-31	1,545,299
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	0
Number of terminated vested participants	2016-12-31	1
Fundng target for terminated vested participants	2016-12-31	19,331
Active participant vested funding target	2016-12-31	1,416,299
Number of active participants	2016-12-31	5
Total funding liabilities for active participants	2016-12-31	1,416,299
Total participant count	2016-12-31	6
Total funding target for all participants	2016-12-31	1,435,630
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	193,870
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	0
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	193,870
Present value of excess contributions	2016-12-31	0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	194,180
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	0
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	102,718
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	102,718
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	102,718
Additional cash requirement	2016-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0

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Company Name:	J. R. JAMES BROKERAGE COMPANY, INC.
Employer identification number (EIN):	540678320
NAIC Classification:	424500