401k Plan data: MAXIM GROUP, LLC 401(K) PLAN plan

MAXIM GROUP, LLC 401(K) PLAN 401k Plan overview

Plan Name	MAXIM GROUP, LLC 401(K) PLAN
Plan identification number	001

MAXIM GROUP, LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
Plan covering Self-Employed individuals.

401k Sponsoring company profile

MAXIM GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: MAXIM GROUP, LLC

Employer identification number (EIN): 043640096

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about MAXIM GROUP, LLC

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 2002-04-11

Company Identification Number: 2754042

Legal Registered Office Address: 300 park avenue
16th floor
NEW YORK
United States of America (USA)
10022

More information about MAXIM GROUP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MAXIM GROUP, LLC 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 JOSEPH SERGIO 2023-10-10
001 2021-01-01 JOSEPH SERGIO 2022-10-12
001 2020-01-01 JOSEPH SERGIO 2021-10-04
001 2019-01-01 JOSEPH SERGIO 2020-10-07
001 2018-01-01 JOSEPH SERGIO 2019-10-04
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 JOSEPH SERGIO
001 2011-01-01 JOSEPH SERGIO
001 2010-01-01 JOSEPH SERGIO
001 2009-01-01 JOSEPH SERGIO

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	JOSEPH SERGIO	2023-10-10
001	2021-01-01	JOSEPH SERGIO	2022-10-12
001	2020-01-01	JOSEPH SERGIO	2021-10-04
001	2019-01-01	JOSEPH SERGIO	2020-10-07
001	2018-01-01	JOSEPH SERGIO	2019-10-04
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	JOSEPH SERGIO
001	2011-01-01	JOSEPH SERGIO
001	2010-01-01	JOSEPH SERGIO
001	2009-01-01	JOSEPH SERGIO

Plan Statistics for MAXIM GROUP, LLC 401(K) PLAN

401k plan membership statisitcs for MAXIM GROUP, LLC 401(K) PLAN

Measure Date Value
2022: MAXIM GROUP, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 260
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 189
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 54
Total of all active and inactive participants 2022-01-01 243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 4
Total participants 2022-01-01 247
Number of participants with account balances 2022-01-01 230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 4
2021: MAXIM GROUP, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 266
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 193
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 49
Total of all active and inactive participants 2021-01-01 242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 4
Total participants 2021-01-01 246
Number of participants with account balances 2021-01-01 230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 2
2020: MAXIM GROUP, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 266
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 199
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 50
Total of all active and inactive participants 2020-01-01 249
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 3
Total participants 2020-01-01 252
Number of participants with account balances 2020-01-01 237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 2
2019: MAXIM GROUP, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 263
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 202
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 53
Total of all active and inactive participants 2019-01-01 255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 3
Total participants 2019-01-01 258
Number of participants with account balances 2019-01-01 242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 7
2018: MAXIM GROUP, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 250
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 206
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 54
Total of all active and inactive participants 2018-01-01 260
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 3
Total participants 2018-01-01 263
Number of participants with account balances 2018-01-01 246
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 6
2017: MAXIM GROUP, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 246
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 201
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 46
Total of all active and inactive participants 2017-01-01 247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 3
Total participants 2017-01-01 250
Number of participants with account balances 2017-01-01 238
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: MAXIM GROUP, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 263
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 201
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 42
Total of all active and inactive participants 2016-01-01 243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 3
Total participants 2016-01-01 246
Number of participants with account balances 2016-01-01 232
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 3
2015: MAXIM GROUP, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 274
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 205
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 47
Total of all active and inactive participants 2015-01-01 252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 5
Total participants 2015-01-01 257
Number of participants with account balances 2015-01-01 237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 3
2014: MAXIM GROUP, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 277
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 231
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 33
Total of all active and inactive participants 2014-01-01 264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 6
Total participants 2014-01-01 270
Number of participants with account balances 2014-01-01 252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 4
2013: MAXIM GROUP, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 267
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 225
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 36
Total of all active and inactive participants 2013-01-01 261
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 262
Number of participants with account balances 2013-01-01 247
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 8
2012: MAXIM GROUP, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 262
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 212
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 43
Total of all active and inactive participants 2012-01-01 255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 2
Total participants 2012-01-01 257
Number of participants with account balances 2012-01-01 234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 17
2011: MAXIM GROUP, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 268
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 218
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 37
Total of all active and inactive participants 2011-01-01 255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 2
Total participants 2011-01-01 257
Number of participants with account balances 2011-01-01 239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 7
2010: MAXIM GROUP, LLC 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 308
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 230
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 78
Total of all active and inactive participants 2010-01-01 308
Total participants 2010-01-01 308
Number of participants with account balances 2010-01-01 240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 29
2009: MAXIM GROUP, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 288
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 230
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 78
Total of all active and inactive participants 2009-01-01 308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 308
Number of participants with account balances 2009-01-01 240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 29

Measure	Date	Value
2022: MAXIM GROUP, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	260
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	189
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	54
Total of all active and inactive participants	2022-01-01	243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	4
Total participants	2022-01-01	247
Number of participants with account balances	2022-01-01	230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	4
2021: MAXIM GROUP, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	266
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	193
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	49
Total of all active and inactive participants	2021-01-01	242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	4
Total participants	2021-01-01	246
Number of participants with account balances	2021-01-01	230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	2
2020: MAXIM GROUP, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	266
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	199
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	50
Total of all active and inactive participants	2020-01-01	249
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	3
Total participants	2020-01-01	252
Number of participants with account balances	2020-01-01	237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	2
2019: MAXIM GROUP, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	263
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	202
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	53
Total of all active and inactive participants	2019-01-01	255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	3
Total participants	2019-01-01	258
Number of participants with account balances	2019-01-01	242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	7
2018: MAXIM GROUP, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	250
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	206
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	54
Total of all active and inactive participants	2018-01-01	260
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	3
Total participants	2018-01-01	263
Number of participants with account balances	2018-01-01	246
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	6
2017: MAXIM GROUP, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	246
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	201
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	46
Total of all active and inactive participants	2017-01-01	247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	3
Total participants	2017-01-01	250
Number of participants with account balances	2017-01-01	238
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: MAXIM GROUP, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	263
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	201
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	42
Total of all active and inactive participants	2016-01-01	243
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	3
Total participants	2016-01-01	246
Number of participants with account balances	2016-01-01	232
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	3
2015: MAXIM GROUP, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	274
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	205
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	47
Total of all active and inactive participants	2015-01-01	252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	5
Total participants	2015-01-01	257
Number of participants with account balances	2015-01-01	237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	3
2014: MAXIM GROUP, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	277
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	231
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	33
Total of all active and inactive participants	2014-01-01	264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	6
Total participants	2014-01-01	270
Number of participants with account balances	2014-01-01	252
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	4
2013: MAXIM GROUP, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	267
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	225
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	36
Total of all active and inactive participants	2013-01-01	261
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	262
Number of participants with account balances	2013-01-01	247
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	8
2012: MAXIM GROUP, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	262
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	212
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	43
Total of all active and inactive participants	2012-01-01	255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	2
Total participants	2012-01-01	257
Number of participants with account balances	2012-01-01	234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	17
2011: MAXIM GROUP, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	268
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	218
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	37
Total of all active and inactive participants	2011-01-01	255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	2
Total participants	2011-01-01	257
Number of participants with account balances	2011-01-01	239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	7
2010: MAXIM GROUP, LLC 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	308
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	230
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	78
Total of all active and inactive participants	2010-01-01	308
Total participants	2010-01-01	308
Number of participants with account balances	2010-01-01	240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	29
2009: MAXIM GROUP, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	288
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	230
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	78
Total of all active and inactive participants	2009-01-01	308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	308
Number of participants with account balances	2009-01-01	240
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	29

Financial Data on MAXIM GROUP, LLC 401(K) PLAN

Measure	Date	Value
2022 : MAXIM GROUP, LLC 401(K) PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$-12,522,907
Total of all expenses incurred	2022-12-31	$6,114,356
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$6,006,642
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$2,913,862
Value of total assets at end of year	2022-12-31	$64,251,376
Value of total assets at beginning of year	2022-12-31	$82,888,639
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$107,714
Total interest from all sources	2022-12-31	$24,662
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$512,746
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$512,746
Administrative expenses professional fees incurred	2022-12-31	$750
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$2,652,130
Participant contributions at end of year	2022-12-31	$461,229
Participant contributions at beginning of year	2022-12-31	$568,757
Participant contributions at end of year	2022-12-31	$39,411
Participant contributions at beginning of year	2022-12-31	$18,844
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-18,637,263
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$64,251,376
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$82,888,639
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$19,427,156
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$25,013,335
Value of interest in pooled separate accounts at end of year	2022-12-31	$34,098,753
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$43,640,740
Interest on participant loans	2022-12-31	$24,662
Value of interest in common/collective trusts at end of year	2022-12-31	$10,224,827
Value of interest in common/collective trusts at beginning of year	2022-12-31	$13,464,963
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-5,188,497
Net investment gain/loss from pooled separate accounts	2022-12-31	$-9,549,005
Net investment gain or loss from common/collective trusts	2022-12-31	$-1,236,675
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$261,732
Employer contributions (assets) at beginning of year	2022-12-31	$182,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$6,006,642
Contract administrator fees	2022-12-31	$106,964
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	GETTRY MARCUS CPA PC
Accountancy firm EIN	2022-12-31	133418879
2021 : MAXIM GROUP, LLC 401(K) PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$13,522,680
Total of all expenses incurred	2021-12-31	$2,466,106
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$2,344,730
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$3,508,567
Value of total assets at end of year	2021-12-31	$82,888,639
Value of total assets at beginning of year	2021-12-31	$71,832,065
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$121,376
Total interest from all sources	2021-12-31	$30,094
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$256,051
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$256,051
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$2,669,870
Participant contributions at end of year	2021-12-31	$568,757
Participant contributions at beginning of year	2021-12-31	$579,529
Participant contributions at end of year	2021-12-31	$18,844
Participant contributions at beginning of year	2021-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$363,813
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$11,056,574
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$82,888,639
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$71,832,065
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$25,013,335
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$21,991,651
Value of interest in pooled separate accounts at end of year	2021-12-31	$43,640,740
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$35,844,587
Interest on participant loans	2021-12-31	$30,094
Value of interest in common/collective trusts at end of year	2021-12-31	$13,464,963
Value of interest in common/collective trusts at beginning of year	2021-12-31	$13,001,801
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$2,084,930
Net investment gain/loss from pooled separate accounts	2021-12-31	$7,243,785
Net investment gain or loss from common/collective trusts	2021-12-31	$399,253
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$474,884
Employer contributions (assets) at end of year	2021-12-31	$182,000
Employer contributions (assets) at beginning of year	2021-12-31	$414,497
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$2,344,730
Contract administrator fees	2021-12-31	$121,376
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	GETTRY MARCUS CPA PC
Accountancy firm EIN	2021-12-31	133418879
2020 : MAXIM GROUP, LLC 401(K) PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$14,109,592
Total of all expenses incurred	2020-12-31	$3,634,123
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$3,531,223
Value of total corrective distributions	2020-12-31	$6,898
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$2,921,276
Value of total assets at end of year	2020-12-31	$71,832,065
Value of total assets at beginning of year	2020-12-31	$61,356,596
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$96,002
Total interest from all sources	2020-12-31	$32,607
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$212,512
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$212,512
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$2,386,252
Participant contributions at end of year	2020-12-31	$579,529
Participant contributions at beginning of year	2020-12-31	$608,127
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$17,131
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$20,755
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$10,475,469
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$71,832,065
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$61,356,596
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$21,991,651
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$18,390,918
Value of interest in pooled separate accounts at end of year	2020-12-31	$35,844,587
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$31,935,918
Interest on participant loans	2020-12-31	$32,607
Value of interest in common/collective trusts at end of year	2020-12-31	$13,001,801
Value of interest in common/collective trusts at beginning of year	2020-12-31	$10,235,069
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$4,075,464
Net investment gain/loss from pooled separate accounts	2020-12-31	$6,061,572
Net investment gain or loss from common/collective trusts	2020-12-31	$806,161
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$514,269
Employer contributions (assets) at end of year	2020-12-31	$414,497
Employer contributions (assets) at beginning of year	2020-12-31	$169,433
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$3,531,223
Contract administrator fees	2020-12-31	$96,002
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	WAGNER & ZWERMAN LLP
Accountancy firm EIN	2020-12-31	112836481
2019 : MAXIM GROUP, LLC 401(K) PLAN 2019 401k financial data
Total income from all sources (including contributions)	2019-12-31	$15,046,400
Total of all expenses incurred	2019-12-31	$2,514,734
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,421,129
Value of total corrective distributions	2019-12-31	$4,577
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$2,912,874
Value of total assets at end of year	2019-12-31	$61,356,596
Value of total assets at beginning of year	2019-12-31	$48,824,930
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$89,028
Total interest from all sources	2019-12-31	$26,073
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$213,710
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$213,710
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$2,208,625
Participant contributions at end of year	2019-12-31	$608,127
Participant contributions at beginning of year	2019-12-31	$393,917
Participant contributions at end of year	2019-12-31	$17,131
Participant contributions at beginning of year	2019-12-31	$2,679
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$186,019
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$12,531,666
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$61,356,596
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$48,824,930
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$18,390,918
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$13,651,286
Value of interest in pooled separate accounts at end of year	2019-12-31	$31,935,918
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$25,482,276
Income. Interest from loans (other than to participants)	2019-12-31	$26,073
Value of interest in common/collective trusts at end of year	2019-12-31	$10,235,069
Value of interest in common/collective trusts at beginning of year	2019-12-31	$9,128,221
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$3,650,946
Net investment gain/loss from pooled separate accounts	2019-12-31	$7,491,510
Net investment gain or loss from common/collective trusts	2019-12-31	$751,287
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$518,230
Employer contributions (assets) at end of year	2019-12-31	$169,433
Employer contributions (assets) at beginning of year	2019-12-31	$166,551
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,421,129
Contract administrator fees	2019-12-31	$89,028
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	WAGNER & ZWERMAN LLP
Accountancy firm EIN	2019-12-31	112836481
2018 : MAXIM GROUP, LLC 401(K) PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-12-31	$67,930
Total of all expenses incurred	2018-12-31	$2,743,376
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$2,598,801
Expenses. Certain deemed distributions of participant loans	2018-12-31	$73,563
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,622,225
Value of total assets at end of year	2018-12-31	$48,824,930
Value of total assets at beginning of year	2018-12-31	$51,500,376
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$71,012
Total interest from all sources	2018-12-31	$17,586
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$162,712
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$162,712
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$2,058,997
Participant contributions at end of year	2018-12-31	$393,917
Participant contributions at beginning of year	2018-12-31	$416,819
Participant contributions at end of year	2018-12-31	$2,679
Participant contributions at beginning of year	2018-12-31	$200
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$25,114
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$10,920,577
Other income not declared elsewhere	2018-12-31	$31,058
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-2,675,446
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$48,824,930
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$51,500,376
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$13,651,286
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$13,606,711
Value of interest in pooled separate accounts at end of year	2018-12-31	$25,482,276
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$20,113,104
Interest on participant loans	2018-12-31	$17,586
Value of interest in common/collective trusts at end of year	2018-12-31	$9,128,221
Value of interest in common/collective trusts at beginning of year	2018-12-31	$6,441,745
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,214,705
Net investment gain/loss from pooled separate accounts	2018-12-31	$-1,563,355
Net investment gain or loss from common/collective trusts	2018-12-31	$12,409
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$538,114
Employer contributions (assets) at end of year	2018-12-31	$166,551
Employer contributions (assets) at beginning of year	2018-12-31	$1,220
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$2,598,801
Contract administrator fees	2018-12-31	$71,012
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WAGNER & ZWERMAN LLP
Accountancy firm EIN	2018-12-31	112836481
2017 : MAXIM GROUP, LLC 401(K) PLAN 2017 401k financial data
Total transfer of assets to this plan	2017-12-31	$10,920,577
Total income from all sources (including contributions)	2017-12-31	$8,621,748
Total of all expenses incurred	2017-12-31	$730,913
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$722,277
Expenses. Certain deemed distributions of participant loans	2017-12-31	$5,209
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,273,143
Value of total assets at end of year	2017-12-31	$51,500,376
Value of total assets at beginning of year	2017-12-31	$32,688,964
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$3,427
Total interest from all sources	2017-12-31	$17,914
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$129,240
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$129,240
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,913,052
Participant contributions at end of year	2017-12-31	$416,819
Participant contributions at beginning of year	2017-12-31	$308,105
Participant contributions at end of year	2017-12-31	$200
Participant contributions at beginning of year	2017-12-31	$450
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$300,023
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$10,920,577
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$7,890,835
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$51,500,376
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$32,688,964
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$13,606,711
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$10,954,471
Value of interest in pooled separate accounts at end of year	2017-12-31	$20,113,104
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$17,313,866
Interest on participant loans	2017-12-31	$17,914
Value of interest in common/collective trusts at end of year	2017-12-31	$6,441,745
Value of interest in common/collective trusts at beginning of year	2017-12-31	$4,112,072
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$2,228,865
Net investment gain/loss from pooled separate accounts	2017-12-31	$3,771,115
Net investment gain or loss from common/collective trusts	2017-12-31	$201,471
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$60,068
Employer contributions (assets) at end of year	2017-12-31	$1,220
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$722,277
Contract administrator fees	2017-12-31	$3,427
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	WAGNER & ZWERMAN LLP
Accountancy firm EIN	2017-12-31	112836481
2016 : MAXIM GROUP, LLC 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$4,156,871
Total of all expenses incurred	2016-12-31	$2,716,519
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$2,650,305
Expenses. Certain deemed distributions of participant loans	2016-12-31	$61,486
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,220,018
Value of total assets at end of year	2016-12-31	$32,688,964
Value of total assets at beginning of year	2016-12-31	$31,248,612
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$4,728
Total interest from all sources	2016-12-31	$15,792
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$112,387
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$112,387
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,900,724
Participant contributions at end of year	2016-12-31	$308,105
Participant contributions at beginning of year	2016-12-31	$348,782
Participant contributions at end of year	2016-12-31	$450
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$262,571
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,440,352
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$32,688,964
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$31,248,612
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$10,954,471
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$12,423,916
Value of interest in pooled separate accounts at end of year	2016-12-31	$17,313,866
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$15,199,466
Interest on participant loans	2016-12-31	$15,792
Value of interest in common/collective trusts at end of year	2016-12-31	$4,112,072
Value of interest in common/collective trusts at beginning of year	2016-12-31	$3,276,448
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$604,495
Net investment gain/loss from pooled separate accounts	2016-12-31	$1,156,079
Net investment gain or loss from common/collective trusts	2016-12-31	$48,100
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$56,723
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$2,650,180
Contract administrator fees	2016-12-31	$4,728
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	WAGNER & ZWERMAN LLP
Accountancy firm EIN	2016-12-31	112836481
2015 : MAXIM GROUP, LLC 401(K) PLAN 2015 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$26,385
Total income from all sources (including contributions)	2015-12-31	$2,247,165
Total of all expenses incurred	2015-12-31	$1,219,457
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,183,013
Expenses. Certain deemed distributions of participant loans	2015-12-31	$30,322
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,999,032
Value of total assets at end of year	2015-12-31	$31,248,612
Value of total assets at beginning of year	2015-12-31	$30,247,289
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$6,122
Total interest from all sources	2015-12-31	$13,079
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$100,720
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$100,720
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,944,000
Participant contributions at end of year	2015-12-31	$348,782
Participant contributions at beginning of year	2015-12-31	$339,590
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$19,597
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$26,385
Other income not declared elsewhere	2015-12-31	$-54,500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$1,027,708
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$31,248,612
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$30,220,904
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$12,423,916
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$12,395,081
Value of interest in pooled separate accounts at end of year	2015-12-31	$15,199,466
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$14,391,869
Interest on participant loans	2015-12-31	$13,079
Value of interest in common/collective trusts at end of year	2015-12-31	$3,276,448
Value of interest in common/collective trusts at beginning of year	2015-12-31	$3,066,044
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-360,313
Net investment gain/loss from pooled separate accounts	2015-12-31	$503,698
Net investment gain or loss from common/collective trusts	2015-12-31	$45,449
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$35,435
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$54,705
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,183,013
Contract administrator fees	2015-12-31	$6,122
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	WAGNER & ZWERMAN LLP
Accountancy firm EIN	2015-12-31	112836481
2014 : MAXIM GROUP, LLC 401(K) PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$26,385
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,498,311
Total of all expenses incurred	2014-12-31	$1,212,692
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,207,603
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,960,619
Value of total assets at end of year	2014-12-31	$30,247,289
Value of total assets at beginning of year	2014-12-31	$27,935,285
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$5,089
Total interest from all sources	2014-12-31	$8,225
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$109,354
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$109,354
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,907,417
Participant contributions at end of year	2014-12-31	$339,590
Participant contributions at beginning of year	2014-12-31	$349,856
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$23,013
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$26,385
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$2,285,619
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$30,220,904
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$27,935,285
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$12,395,081
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$11,561,846
Value of interest in pooled separate accounts at end of year	2014-12-31	$14,391,869
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$13,328,263
Interest on participant loans	2014-12-31	$8,225
Value of interest in common/collective trusts at end of year	2014-12-31	$3,066,044
Value of interest in common/collective trusts at beginning of year	2014-12-31	$2,642,682
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$427,299
Net investment gain/loss from pooled separate accounts	2014-12-31	$975,053
Net investment gain or loss from common/collective trusts	2014-12-31	$17,761
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$30,189
Employer contributions (assets) at end of year	2014-12-31	$54,705
Employer contributions (assets) at beginning of year	2014-12-31	$52,638
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,207,603
Contract administrator fees	2014-12-31	$5,089
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	WAGNER & ZWERMAN LLP
Accountancy firm EIN	2014-12-31	112836481
2013 : MAXIM GROUP, LLC 401(K) PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$6,923,590
Total of all expenses incurred	2013-12-31	$909,330
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$904,419
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,970,621
Value of total assets at end of year	2013-12-31	$27,935,285
Value of total assets at beginning of year	2013-12-31	$21,921,025
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$4,911
Total interest from all sources	2013-12-31	$21,729
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$97,561
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$97,561
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,863,748
Participant contributions at end of year	2013-12-31	$349,856
Participant contributions at beginning of year	2013-12-31	$376,377
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$45,651
Other income not declared elsewhere	2013-12-31	$-47,495
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$6,014,260
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$27,935,285
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$21,921,025
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$11,561,846
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$9,093,771
Value of interest in pooled separate accounts at end of year	2013-12-31	$13,328,263
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$9,994,364
Interest on participant loans	2013-12-31	$21,729
Value of interest in common/collective trusts at end of year	2013-12-31	$2,642,682
Value of interest in common/collective trusts at beginning of year	2013-12-31	$2,409,018
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,126,099
Net investment gain/loss from pooled separate accounts	2013-12-31	$2,765,510
Net investment gain or loss from common/collective trusts	2013-12-31	$-10,435
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$61,222
Employer contributions (assets) at end of year	2013-12-31	$52,638
Employer contributions (assets) at beginning of year	2013-12-31	$47,495
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$904,419
Contract administrator fees	2013-12-31	$4,911
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	RAPHAEL GROSSMAN, CPA
Accountancy firm EIN	2013-12-31	112488674
2012 : MAXIM GROUP, LLC 401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$4,463,013
Total of all expenses incurred	2012-12-31	$2,976,088
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,972,946
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,070,237
Value of total assets at end of year	2012-12-31	$21,921,025
Value of total assets at beginning of year	2012-12-31	$20,434,100
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,142
Total interest from all sources	2012-12-31	$19,028
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$98,543
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$98,543
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,710,926
Participant contributions at end of year	2012-12-31	$376,377
Participant contributions at beginning of year	2012-12-31	$440,397
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$310,252
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	$1,486,925
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$21,921,025
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$20,434,100
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	$9,093,771
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$8,325,262
Value of interest in pooled separate accounts at end of year	2012-12-31	$9,994,364
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$9,307,849
Interest on participant loans	2012-12-31	$19,028
Value of interest in common/collective trusts at end of year	2012-12-31	$2,409,018
Value of interest in common/collective trusts at beginning of year	2012-12-31	$2,300,065
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$991,793
Net investment gain/loss from pooled separate accounts	2012-12-31	$1,262,550
Net investment gain or loss from common/collective trusts	2012-12-31	$20,862
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
Contributions received in cash from employer	2012-12-31	$49,059
Employer contributions (assets) at end of year	2012-12-31	$47,495
Employer contributions (assets) at beginning of year	2012-12-31	$60,527
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,972,946
Contract administrator fees	2012-12-31	$3,142
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	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	RAPHAEL GROSSMAN, CPA
Accountancy firm EIN	2012-12-31	112488674
2011 : MAXIM GROUP, LLC 401(K) PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$1,392,478
Total of all expenses incurred	2011-12-31	$1,956,148
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,953,020
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,824,893
Value of total assets at end of year	2011-12-31	$20,434,100
Value of total assets at beginning of year	2011-12-31	$20,997,770
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$3,128
Total interest from all sources	2011-12-31	$18,561
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$77,258
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$77,258
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,658,687
Participant contributions at end of year	2011-12-31	$440,397
Participant contributions at beginning of year	2011-12-31	$368,966
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$67,403
Other income not declared elsewhere	2011-12-31	$-55,251
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-563,670
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$20,434,100
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$20,997,770
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$8,325,262
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$9,838,280
Value of interest in pooled separate accounts at end of year	2011-12-31	$9,307,849
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$9,202,922
Interest on participant loans	2011-12-31	$18,561
Value of interest in common/collective trusts at end of year	2011-12-31	$2,300,065
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,529,855
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-450,993
Net investment gain/loss from pooled separate accounts	2011-12-31	$62,707
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$98,803
Employer contributions (assets) at end of year	2011-12-31	$60,527
Employer contributions (assets) at beginning of year	2011-12-31	$57,747
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,953,020
Contract administrator fees	2011-12-31	$3,128
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	RAPHAEL GROSSMAN, CPA
Accountancy firm EIN	2011-12-31	112488674
2010 : MAXIM GROUP, LLC 401(K) PLAN 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$4,267,516
Total of all expenses incurred	2010-12-31	$1,427,092
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,424,199
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,933,236
Value of total assets at end of year	2010-12-31	$20,997,770
Value of total assets at beginning of year	2010-12-31	$18,157,346
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,893
Total interest from all sources	2010-12-31	$24,252
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$59,608
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$59,608
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,813,883
Participant contributions at end of year	2010-12-31	$368,966
Participant contributions at beginning of year	2010-12-31	$428,995
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$25,637
Other income not declared elsewhere	2010-12-31	$-66,204
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,840,424
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$20,997,770
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$18,157,346
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$9,838,280
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$8,115,394
Value of interest in pooled separate accounts at end of year	2010-12-31	$9,202,922
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$7,960,256
Interest on participant loans	2010-12-31	$24,252
Value of interest in common/collective trusts at end of year	2010-12-31	$1,529,855
Value of interest in common/collective trusts at beginning of year	2010-12-31	$1,584,212
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$957,516
Net investment gain/loss from pooled separate accounts	2010-12-31	$1,305,967
Net investment gain or loss from common/collective trusts	2010-12-31	$53,141
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$93,716
Employer contributions (assets) at end of year	2010-12-31	$57,747
Employer contributions (assets) at beginning of year	2010-12-31	$68,489
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,424,199
Contract administrator fees	2010-12-31	$2,893
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	RAPHAEL GROSSMAN, CPA
Accountancy firm EIN	2010-12-31	112488674

Form 5500 Responses for MAXIM GROUP, LLC 401(K) PLAN

2022: MAXIM GROUP, LLC 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: MAXIM GROUP, LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: MAXIM GROUP, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: MAXIM GROUP, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: MAXIM GROUP, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: MAXIM GROUP, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: MAXIM GROUP, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: MAXIM GROUP, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: MAXIM GROUP, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: MAXIM GROUP, LLC 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: MAXIM GROUP, LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: MAXIM GROUP, LLC 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: MAXIM GROUP, LLC 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: MAXIM GROUP, LLC 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	247
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of fees paid to insurance company	USD $13,283
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	13283
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	5

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	246
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of fees paid to insurance company	USD $12,790
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	12790
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	5

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	252
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $13,034
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Amount paid for insurance broker fees	13034
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	5

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	258
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $13,165
Total amount of fees paid to insurance company	USD $13,165
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $13,165
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	5

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	263
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of fees paid to insurance company	USD $12,654
Amount paid for insurance broker fees	12654
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	5

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	250
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of fees paid to insurance company	USD $9,065
Amount paid for insurance broker fees	9065
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	5
Insurance broker name	DANZIGER & MARKHOFF LLP

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	257
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,805
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	1805
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	5
Insurance broker name	DANZIGER & MARKHOFF LLP

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

705229

Policy instance

Insurance contract or identification number	705229
Number of Individuals Covered	270
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

7-05229

Policy instance

Insurance contract or identification number	7-05229
Number of Individuals Covered	262
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

7-05229

Policy instance

Insurance contract or identification number	7-05229
Number of Individuals Covered	257
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of fees paid to insurance company	USD $3,128
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	3128
Additional information about fees paid to insurance broker	REFERRAL/SERVICE
Insurance broker name	PENSION SOLUTIONS

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

7-05229

Policy instance

Insurance contract or identification number	7-05229
Number of Individuals Covered	257
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

7-05229

Policy instance

Insurance contract or identification number	7-05229
Number of Individuals Covered	260
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

Potentially related plans

MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN [EIN = 463640096]

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Company Name:	MAXIM GROUP, LLC
Employer identification number (EIN):	043640096
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	2002-04-11
Company Identification Number:	2754042
Legal Registered Office Address:	300 park avenue 16th floor NEW YORK United States of America (USA) 10022