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NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST 401k Plan overview

Plan NameNUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST
Plan identification number 001

NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST 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.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NUMIS SECURITIES INC. has sponsored the creation of one or more 401k plans.

Company Name:NUMIS SECURITIES INC.
Employer identification number (EIN):020701309
NAIC Classification:523110
NAIC Description:Investment Banking and Securities Dealing

Additional information about NUMIS SECURITIES INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 3679664

More information about NUMIS SECURITIES INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01NICHOLAS J REGO2023-03-29
0012021-01-01NICHOLAS J REGO2022-03-30
0012020-01-01NICHOLAS J REGO2021-06-02
0012019-01-01NICHOLAS REGO2020-04-09
0012018-01-01NICHOLAS J REGO2019-06-28
0012017-01-01NICHOLAS J REGO2018-07-05
0012016-01-01NICHOLAS REGO2017-08-17
0012015-01-01NICHOLAS J REGO2016-06-01
0012014-01-01RENE OBREGON2015-07-17
0012013-01-01NICHOLAS J REGO2014-06-22
0012012-01-01NUMIS SECURITIES INC.
0012011-01-01RENE OBREGON2012-07-10
0012010-01-01DIANA BERGHERR2011-09-27 DIANA BERGHERR2011-09-27

Plan Statistics for NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST

401k plan membership statisitcs for NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST

Measure Date Value
2012: NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST 2012 401k membership
Total participants, beginning-of-year2012-01-0112
Total number of active participants reported on line 7a of the Form 55002012-01-0110
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-015
Total of all active and inactive participants2012-01-0115
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0115
Number of participants with account balances2012-01-0113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010

Financial Data on NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST

Measure Date Value
2012 : NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total plan liabilities at end of year2012-12-31$0
Total plan liabilities at beginning of year2012-12-31$0
Total income from all sources2012-12-31$132,801
Expenses. Total of all expenses incurred2012-12-31$95,148
Benefits paid (including direct rollovers)2012-12-31$95,028
Total plan assets at end of year2012-12-31$603,827
Total plan assets at beginning of year2012-12-31$566,174
Value of fidelity bond covering the plan2012-12-31$0
Total contributions received or receivable from participants2012-12-31$45,609
Expenses. Other expenses not covered elsewhere2012-12-31$0
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$34,665
Net income (gross income less expenses)2012-12-31$37,653
Net plan assets at end of year (total assets less liabilities)2012-12-31$603,827
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$566,174
Assets. Value of participant loans2012-12-31$14,942
Total contributions received or receivable from employer(s)2012-12-31$52,527
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$120

Form 5500 Responses for NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST

2012: NUMIS SECURITIES INC 401 K PROFIT SHARING PLAN TRUST 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number39901
Policy instance 1
Insurance contract or identification number39901
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Insurance broker name

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