CANACCORD GENUITY SECURITIES, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan CANACCORD GENUITY SECURITIES, LLC
Measure | Date | Value |
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2013 : CANACCORD GENUITY SECURITIES, LLC 2013 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2013-01-08 | $0 |
Total transfer of assets from this plan | 2013-01-08 | $6,624,474 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-01-08 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-01-08 | $0 |
Total income from all sources (including contributions) | 2013-01-08 | $560 |
Total loss/gain on sale of assets | 2013-01-08 | $0 |
Total of all expenses incurred | 2013-01-08 | $0 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-01-08 | $0 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-01-08 | $0 |
Value of total assets at end of year | 2013-01-08 | $0 |
Value of total assets at beginning of year | 2013-01-08 | $6,623,914 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-01-08 | $0 |
Total interest from all sources | 2013-01-08 | $0 |
Total dividends received (eg from common stock, registered investment company shares) | 2013-01-08 | $560 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-01-08 | Yes |
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2013-01-08 | $0 |
Total dividends received from registered investment company shares (eg mutual funds) | 2013-01-08 | $560 |
Was this plan covered by a fidelity bond | 2013-01-08 | Yes |
Value of fidelity bond cover | 2013-01-08 | $100,000 |
If this is an individual account plan, was there a blackout period | 2013-01-08 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-01-08 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2013-01-08 | No |
Participant contributions at end of year | 2013-01-08 | $0 |
Participant contributions at beginning of year | 2013-01-08 | $24,303 |
Total non interest bearing cash at end of year | 2013-01-08 | $0 |
Total non interest bearing cash at beginning of year | 2013-01-08 | $6,599,067 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-01-08 | No |
Value of net income/loss | 2013-01-08 | $560 |
Value of net assets at end of year (total assets less liabilities) | 2013-01-08 | $0 |
Value of net assets at beginning of year (total assets less liabilities) | 2013-01-08 | $6,623,914 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-01-08 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2013-01-08 | No |
Were any leases to which the plan was party in default or uncollectible | 2013-01-08 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-01-08 | $0 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-01-08 | $544 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-01-08 | No |
Was there a failure to transmit to the plan any participant contributions | 2013-01-08 | No |
Has the plan failed to provide any benefit when due under the plan | 2013-01-08 | No |
Contributions received in cash from employer | 2013-01-08 | $0 |
Did the plan have assets held for investment | 2013-01-08 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-01-08 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-01-08 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-01-08 | Yes |
Opinion of an independent qualified public accountant for this plan | 2013-01-08 | Disclaimer |
Accountancy firm name | 2013-01-08 | FROST,RUTTENBERG & ROTHBLATT, P.C. |
Accountancy firm EIN | 2013-01-08 | 363402398 |
2012 : CANACCORD GENUITY SECURITIES, LLC 2012 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2012-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $0 |
Total income from all sources (including contributions) | 2012-12-31 | $1,520,224 |
Total loss/gain on sale of assets | 2012-12-31 | $0 |
Total of all expenses incurred | 2012-12-31 | $1,414,026 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $1,396,888 |
Expenses. Certain deemed distributions of participant loans | 2012-12-31 | $14,925 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $826,203 |
Value of total assets at end of year | 2012-12-31 | $6,623,914 |
Value of total assets at beginning of year | 2012-12-31 | $6,517,716 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $2,213 |
Total interest from all sources | 2012-12-31 | $2,960 |
Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $108,516 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | Yes |
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2012-12-31 | $0 |
Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $108,516 |
Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
Value of fidelity bond cover | 2012-12-31 | $100,000 |
If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
Contributions received from participants | 2012-12-31 | $826,203 |
Participant contributions at end of year | 2012-12-31 | $24,303 |
Participant contributions at beginning of year | 2012-12-31 | $58,343 |
Assets. Other investments not covered elsewhere at end of year | 2012-12-31 | $0 |
Assets. Other investments not covered elsewhere at beginning of year | 2012-12-31 | $2 |
Total non interest bearing cash at end of year | 2012-12-31 | $6,599,067 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Value of net income/loss | 2012-12-31 | $106,198 |
Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $6,623,914 |
Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $6,517,716 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $544 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $3,881,256 |
Interest on participant loans | 2012-12-31 | $2,717 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2012-12-31 | $0 |
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2012-12-31 | $2,578,115 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2012-12-31 | $2,578,115 |
Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2012-12-31 | $243 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $582,545 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $1,396,888 |
Contract administrator fees | 2012-12-31 | $2,213 |
Did the plan have assets held for investment | 2012-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
Accountancy firm name | 2012-12-31 | FROST,RUTTENBERG AND ROTHBLATT,P.C. |
Accountancy firm EIN | 2012-12-31 | 363402398 |