401k Plan data: FIRST WESTERN SECURITIES, INC. 401(K) PLAN plan

FIRST WESTERN SECURITIES, INC. 401(K) PLAN 401k Plan overview

Plan Name	FIRST WESTERN SECURITIES, INC. 401(K) PLAN
Plan identification number	001

FIRST WESTERN SECURITIES, INC. 401(K) 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
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

FIRST WESTERN SECURITIES, INC. has sponsored the creation of one or more 401k plans.

Company Name: FIRST WESTERN SECURITIES, INC.

Employer identification number (EIN): 752176921

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about FIRST WESTERN SECURITIES, INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 1987-03-27

Company Identification Number: 0103302800

Legal Registered Office Address: 669 AIRPORT FWY STE 409

HURST
United States of America (USA)
76053

More information about FIRST WESTERN SECURITIES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST WESTERN SECURITIES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 RANDAL FERGUSON 2023-10-04 RANDAL FERGUSON 2023-10-04
001 2021-01-01 RANDAL FERGUSON 2022-09-27 RANDAL FERGUSON 2022-09-27
001 2020-01-01 RANDAL E. FERGUSON 2021-10-11 RANDAL E. FERGUSON 2021-10-11
001 2019-01-01 RANDAL FERGUSON 2020-09-30 RANDAL FERGUSON 2020-09-30
001 2018-01-01 RANDAL E FERGUSON 2019-06-27 RANDAL E FERGUSON 2019-06-27
001 2017-01-01 RANDAL FERGUSON 2018-10-15 RANDAL FERGUSON 2018-10-15
001 2016-01-01 RANDAL E FEGUSON 2017-10-13 RANDAL E FEGUSON 2017-10-13
001 2015-01-01 RANDAL E. FERGUSON 2016-07-18
001 2014-01-01 RANDAL E. FERGUSON 2015-09-08
001 2013-01-01 RANDAL E. FERGUSON 2014-10-15
001 2012-01-01 RANDAL E. FERGUSON 2013-09-20 RANDAL E. FERGUSON 2013-09-20
001 2011-01-01 RANDAL E. FERGUSON
001 2010-01-01 RANDAL E. FERGUSON
001 2009-01-01 RANDAL E. FERGUSON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	RANDAL FERGUSON	2023-10-04	RANDAL FERGUSON	2023-10-04
001	2021-01-01	RANDAL FERGUSON	2022-09-27	RANDAL FERGUSON	2022-09-27
001	2020-01-01	RANDAL E. FERGUSON	2021-10-11	RANDAL E. FERGUSON	2021-10-11
001	2019-01-01	RANDAL FERGUSON	2020-09-30	RANDAL FERGUSON	2020-09-30
001	2018-01-01	RANDAL E FERGUSON	2019-06-27	RANDAL E FERGUSON	2019-06-27
001	2017-01-01	RANDAL FERGUSON	2018-10-15	RANDAL FERGUSON	2018-10-15
001	2016-01-01	RANDAL E FEGUSON	2017-10-13	RANDAL E FEGUSON	2017-10-13
001	2015-01-01	RANDAL E. FERGUSON	2016-07-18
001	2014-01-01	RANDAL E. FERGUSON	2015-09-08
001	2013-01-01	RANDAL E. FERGUSON	2014-10-15
001	2012-01-01	RANDAL E. FERGUSON	2013-09-20	RANDAL E. FERGUSON	2013-09-20
001	2011-01-01	RANDAL E. FERGUSON
001	2010-01-01	RANDAL E. FERGUSON
001	2009-01-01	RANDAL E. FERGUSON

Plan Statistics for FIRST WESTERN SECURITIES, INC. 401(K) PLAN

401k plan membership statisitcs for FIRST WESTERN SECURITIES, INC. 401(K) PLAN

Measure Date Value
2011: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 15
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 10
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 6
Total of all active and inactive participants 2011-01-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 16
Number of participants with account balances 2011-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 14
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 9
Number of retired or separated participants receiving benefits 2010-01-01 2
Number of other retired or separated participants entitled to future benefits 2010-01-01 4
Total of all active and inactive participants 2010-01-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 15
Number of participants with account balances 2010-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 8
Number of retired or separated participants receiving benefits 2009-01-01 3
Number of other retired or separated participants entitled to future benefits 2009-01-01 3
Total of all active and inactive participants 2009-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 14
Number of participants with account balances 2009-01-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	15
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	10
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	6
Total of all active and inactive participants	2011-01-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	16
Number of participants with account balances	2011-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	14
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	9
Number of retired or separated participants receiving benefits	2010-01-01	2
Number of other retired or separated participants entitled to future benefits	2010-01-01	4
Total of all active and inactive participants	2010-01-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	15
Number of participants with account balances	2010-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	8
Number of retired or separated participants receiving benefits	2009-01-01	3
Number of other retired or separated participants entitled to future benefits	2009-01-01	3
Total of all active and inactive participants	2009-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	14
Number of participants with account balances	2009-01-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on FIRST WESTERN SECURITIES, INC. 401(K) PLAN

Measure	Date	Value
2011 : FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$0
Total plan liabilities at beginning of year	2011-12-31	$0
Total income from all sources	2011-12-31	$38,039
Expenses. Total of all expenses incurred	2011-12-31	$0
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$763,935
Total plan assets at beginning of year	2011-12-31	$725,896
Value of fidelity bond covering the plan	2011-12-31	$265,000
Total contributions received or receivable from participants	2011-12-31	$54,289
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-41,441
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$38,039
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$763,935
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$725,896
Assets. Value of participant loans	2011-12-31	$34,426
Total contributions received or receivable from employer(s)	2011-12-31	$25,191
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : FIRST WESTERN SECURITIES, INC. 401(K) PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
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	$146,706
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$725,896
Total plan assets at beginning of year	2010-12-31	$579,190
Value of fidelity bond covering the plan	2010-12-31	$265,000
Total contributions received or receivable from participants	2010-12-31	$43,818
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$83,704
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$146,706
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$725,896
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$579,190
Assets. Value of participant loans	2010-12-31	$52,444
Total contributions received or receivable from employer(s)	2010-12-31	$19,184
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0

Form 5500 Responses for FIRST WESTERN SECURITIES, INC. 401(K) PLAN

2011: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: FIRST WESTERN SECURITIES, INC. 401(K) PLAN 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

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	FIRST WESTERN SECURITIES, INC.
Employer identification number (EIN):	752176921
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1987-03-27
Company Identification Number:	0103302800
Legal Registered Office Address:	669 AIRPORT FWY STE 409 HURST United States of America (USA) 76053