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PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 401k Plan overview

Plan NamePACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A
Plan identification number 001

PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A Benefits

401k Plan TypeDefined 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.
  • 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.
  • 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

PACIFIC CREST SECURITIES LLC has sponsored the creation of one or more 401k plans.

Company Name:PACIFIC CREST SECURITIES LLC
Employer identification number (EIN):930625230
NAIC Classification:523110
NAIC Description:Investment Banking and Securities Dealing

Additional information about PACIFIC CREST SECURITIES LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 4496963

More information about PACIFIC CREST SECURITIES LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012015-01-01ALAN DUFFY
0012014-01-01JILL P. KRANC
0012013-01-01DANIEL R. SHANK
0012012-01-01DANIEL R. SHANK
0012011-01-01DANIEL R. SHANK
0012010-01-01DANIEL R. SHANK
0012009-01-01DANIEL R. SHANK DANIEL R. SHANK2010-10-08

Plan Statistics for PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A

401k plan membership statisitcs for PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A

Measure Date Value
2015: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2015 401k membership
Total participants, beginning-of-year2015-01-0149
Total number of active participants reported on line 7a of the Form 55002015-01-010
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-010
Total of all active and inactive participants2015-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-010
Number of participants with account balances2015-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2014 401k membership
Total participants, beginning-of-year2014-01-0199
Total number of active participants reported on line 7a of the Form 55002014-01-010
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0149
Total of all active and inactive participants2014-01-0149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0149
Number of participants with account balances2014-01-0149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2013 401k membership
Total participants, beginning-of-year2013-01-0188
Total number of active participants reported on line 7a of the Form 55002013-01-0182
Number of other retired or separated participants entitled to future benefits2013-01-0117
Total of all active and inactive participants2013-01-0199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0199
Number of participants with account balances2013-01-0195
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-019
2012: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2012 401k membership
Total participants, beginning-of-year2012-01-0198
Total number of active participants reported on line 7a of the Form 55002012-01-0182
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0110
Total of all active and inactive participants2012-01-0192
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0192
Number of participants with account balances2012-01-0180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-017
2011: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2011 401k membership
Total participants, beginning-of-year2011-01-0190
Total number of active participants reported on line 7a of the Form 55002011-01-0186
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0112
Total of all active and inactive participants2011-01-0198
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0198
Number of participants with account balances2011-01-0188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-019
2010: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2010 401k membership
Total participants, beginning-of-year2010-01-0172
Total number of active participants reported on line 7a of the Form 55002010-01-0170
Number of other retired or separated participants entitled to future benefits2010-01-0112
Total of all active and inactive participants2010-01-0182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-0182
Number of participants with account balances2010-01-0179
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-016
2009: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2009 401k membership
Total participants, beginning-of-year2009-01-0185
Total number of active participants reported on line 7a of the Form 55002009-01-0172
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0113
Total of all active and inactive participants2009-01-0185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0185
Number of participants with account balances2009-01-0172
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-016

Financial Data on PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A

Measure Date Value
2015 : PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2015 401k financial data
Total income from all sources2015-06-30$-74,871
Expenses. Total of all expenses incurred2015-06-30$5,646,820
Benefits paid (including direct rollovers)2015-06-30$5,646,772
Total plan assets at end of year2015-06-30$0
Total plan assets at beginning of year2015-06-30$5,721,691
Value of fidelity bond covering the plan2015-06-30$1,000,000
Total contributions received or receivable from participants2015-06-30$0
Contributions received from other sources (not participants or employers)2015-06-30$0
Other income received2015-06-30$-74,871
Net income (gross income less expenses)2015-06-30$-5,721,691
Net plan assets at end of year (total assets less liabilities)2015-06-30$0
Net plan assets at beginning of year (total assets less liabilities)2015-06-30$5,721,691
Total contributions received or receivable from employer(s)2015-06-30$0
Expenses. Administrative service providers (salaries,fees and commissions)2015-06-30$48
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-06-30$0
2014 : PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2014 401k financial data
Transfers to/from the plan2014-12-31$-715,154
Total income from all sources2014-12-31$1,274,757
Expenses. Total of all expenses incurred2014-12-31$6,944,058
Benefits paid (including direct rollovers)2014-12-31$6,941,788
Total plan assets at end of year2014-12-31$5,721,691
Total plan assets at beginning of year2014-12-31$12,106,146
Value of fidelity bond covering the plan2014-12-31$1,000,000
Total contributions received or receivable from participants2014-12-31$602,144
Contributions received from other sources (not participants or employers)2014-12-31$6,929
Other income received2014-12-31$576,449
Net income (gross income less expenses)2014-12-31$-5,669,301
Net plan assets at end of year (total assets less liabilities)2014-12-31$5,721,691
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$12,106,146
Assets. Value of participant loans2014-12-31$0
Assets. Value of assets in partnership/joint-venture interests2014-12-31$316
Total contributions received or receivable from employer(s)2014-12-31$89,235
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$2,270
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
2013 : PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2013 401k financial data
Transfers to/from the plan2013-12-31$45,097
Total income from all sources2013-12-31$3,010,511
Expenses. Total of all expenses incurred2013-12-31$29,739
Benefits paid (including direct rollovers)2013-12-31$18,486
Total plan assets at end of year2013-12-31$12,106,146
Total plan assets at beginning of year2013-12-31$9,080,277
Value of fidelity bond covering the plan2013-12-31$1,000,000
Total contributions received or receivable from participants2013-12-31$731,743
Contributions received from other sources (not participants or employers)2013-12-31$324,977
Other income received2013-12-31$1,851,088
Net income (gross income less expenses)2013-12-31$2,980,772
Net plan assets at end of year (total assets less liabilities)2013-12-31$12,106,146
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$9,080,277
Assets. Value of participant loans2013-12-31$240,928
Assets. Value of assets in partnership/joint-venture interests2013-12-31$316
Total contributions received or receivable from employer(s)2013-12-31$102,703
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$11,253
2012 : PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2012 401k financial data
Transfers to/from the plan2012-12-31$-21,605
Total income from all sources2012-12-31$1,438,270
Expenses. Total of all expenses incurred2012-12-31$698,317
Benefits paid (including direct rollovers)2012-12-31$681,353
Total plan assets at end of year2012-12-31$9,080,277
Total plan assets at beginning of year2012-12-31$8,361,929
Value of fidelity bond covering the plan2012-12-31$1,000,000
Total contributions received or receivable from participants2012-12-31$637,795
Other income received2012-12-31$711,222
Net income (gross income less expenses)2012-12-31$739,953
Net plan assets at end of year (total assets less liabilities)2012-12-31$9,080,277
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$8,361,929
Assets. Value of participant loans2012-12-31$111,102
Assets. Value of assets in partnership/joint-venture interests2012-12-31$52,586
Total contributions received or receivable from employer(s)2012-12-31$89,253
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$16,964
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2011 401k financial data
Transfers to/from the plan2011-12-31$-554,636
Total income from all sources2011-12-31$246,295
Expenses. Total of all expenses incurred2011-12-31$913,566
Benefits paid (including direct rollovers)2011-12-31$900,041
Total plan assets at end of year2011-12-31$8,361,929
Total plan assets at beginning of year2011-12-31$9,583,836
Value of fidelity bond covering the plan2011-12-31$1,000,000
Total contributions received or receivable from participants2011-12-31$632,863
Contributions received from other sources (not participants or employers)2011-12-31$32,500
Other income received2011-12-31$-506,424
Net income (gross income less expenses)2011-12-31$-667,271
Net plan assets at end of year (total assets less liabilities)2011-12-31$8,361,929
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$9,583,836
Assets. Value of participant loans2011-12-31$106,731
Assets. Value of assets in partnership/joint-venture interests2011-12-31$55,594
Total contributions received or receivable from employer(s)2011-12-31$87,356
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$13,525
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
2010 : PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2010 401k financial data
Total income from all sources2010-12-31$1,360,015
Expenses. Total of all expenses incurred2010-12-31$397,484
Benefits paid (including direct rollovers)2010-12-31$389,855
Total plan assets at end of year2010-12-31$9,583,836
Total plan assets at beginning of year2010-12-31$8,621,305
Value of fidelity bond covering the plan2010-12-31$1,200,000
Total contributions received or receivable from participants2010-12-31$557,376
Contributions received from other sources (not participants or employers)2010-12-31$15,965
Other income received2010-12-31$707,376
Net income (gross income less expenses)2010-12-31$962,531
Net plan assets at end of year (total assets less liabilities)2010-12-31$9,583,836
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$8,621,305
Assets. Value of participant loans2010-12-31$104,074
Assets. Value of assets in partnership/joint-venture interests2010-12-31$598,213
Total contributions received or receivable from employer(s)2010-12-31$79,298
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$7,629
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
2009 : PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A

2015: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingYes
2015-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: PACIFIC CREST SECURITIES 401(K) PROFIT SHARING PLAN A 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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