401k Plan data: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN plan

MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 401k Plan overview

Plan Name	MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN
Plan identification number	002

MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
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.
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 DEFINED CONTRIBUTION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01
002 2016-01-01
002 2015-01-01
002 2014-01-01
002 2014-01-01
002 2011-01-01 JOSEPH SERGIO
002 2009-01-01 JOSEPH SERGIO

Plan Statistics for MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN

401k plan membership statisitcs for MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN

Measure Date Value
2017: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 174
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
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 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 5
2016: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 194
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 151
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 21
Total of all active and inactive participants 2016-01-01 172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 2
Total participants 2016-01-01 174
Number of participants with account balances 2016-01-01 154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 11
2015: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 207
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 166
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 22
Total of all active and inactive participants 2015-01-01 188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 4
Total participants 2015-01-01 192
Number of participants with account balances 2015-01-01 170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 6
2014: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 218
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 193
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 10
Total of all active and inactive participants 2014-01-01 203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 4
Total participants 2014-01-01 207
Number of participants with account balances 2014-01-01 173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 9
2011: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 197
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 174
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 12
Total of all active and inactive participants 2011-01-01 186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 186
Number of participants with account balances 2011-01-01 159
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 4
2009: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 213
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 180
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 43
Total of all active and inactive participants 2009-01-01 223
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 223
Number of participants with account balances 2009-01-01 150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 21

Measure	Date	Value
2017: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	174
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
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	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	5
2016: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	194
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	151
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	21
Total of all active and inactive participants	2016-01-01	172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	2
Total participants	2016-01-01	174
Number of participants with account balances	2016-01-01	154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	11
2015: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	207
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	166
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	22
Total of all active and inactive participants	2015-01-01	188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	4
Total participants	2015-01-01	192
Number of participants with account balances	2015-01-01	170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	6
2014: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	218
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	193
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	10
Total of all active and inactive participants	2014-01-01	203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	4
Total participants	2014-01-01	207
Number of participants with account balances	2014-01-01	173
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	9
2011: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	197
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	174
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	12
Total of all active and inactive participants	2011-01-01	186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	186
Number of participants with account balances	2011-01-01	159
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	4
2009: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	213
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	180
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	43
Total of all active and inactive participants	2009-01-01	223
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	223
Number of participants with account balances	2009-01-01	150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	21

Financial Data on MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN

Measure	Date	Value
2017 : MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2017 401k financial data
Total transfer of assets from this plan	2017-12-31	$10,920,577
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$1,956,231
Total of all expenses incurred	2017-12-31	$162,854
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$161,095
Expenses. Certain deemed distributions of participant loans	2017-12-31	$457
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$286,675
Value of total assets at end of year	2017-12-31	$0
Value of total assets at beginning of year	2017-12-31	$9,127,200
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,302
Total interest from all sources	2017-12-31	$2,666
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$32,665
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	$32,665
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
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
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$73,616
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$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	2017-12-31	No
Value of net income/loss	2017-12-31	$1,793,377
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$9,127,200
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	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$2,972,377
Value of interest in pooled separate accounts at end of year	2017-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$4,569,040
Interest on participant loans	2017-12-31	$2,666
Value of interest in common/collective trusts at end of year	2017-12-31	$0
Value of interest in common/collective trusts at beginning of year	2017-12-31	$1,512,167
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$591,800
Net investment gain/loss from pooled separate accounts	2017-12-31	$995,594
Net investment gain or loss from common/collective trusts	2017-12-31	$46,831
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	$286,675
Employer contributions (assets) at end of year	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$161,095
Contract administrator fees	2017-12-31	$1,302
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	Yes
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 & ZWEMAN LLP
Accountancy firm EIN	2017-12-31	112836481
2016 : MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$823,694
Total of all expenses incurred	2016-12-31	$704,413
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$653,037
Expenses. Certain deemed distributions of participant loans	2016-12-31	$49,072
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$272,655
Value of total assets at end of year	2016-12-31	$9,127,200
Value of total assets at beginning of year	2016-12-31	$9,007,919
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$2,304
Total interest from all sources	2016-12-31	$4,623
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$23,591
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	$23,591
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
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
Participant contributions at end of year	2016-12-31	$73,616
Participant contributions at beginning of year	2016-12-31	$152,617
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	$119,281
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$9,127,200
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$9,007,919
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	$2,972,377
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$3,483,546
Value of interest in pooled separate accounts at end of year	2016-12-31	$4,569,040
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$4,041,119
Interest on participant loans	2016-12-31	$4,623
Value of interest in common/collective trusts at end of year	2016-12-31	$1,512,167
Value of interest in common/collective trusts at beginning of year	2016-12-31	$1,330,637
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$151,487
Net investment gain/loss from pooled separate accounts	2016-12-31	$353,668
Net investment gain or loss from common/collective trusts	2016-12-31	$17,670
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	$272,655
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$653,037
Contract administrator fees	2016-12-31	$2,304
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 DEFINED CONTRIBUTION PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$381,128
Total of all expenses incurred	2015-12-31	$287,582
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$222,227
Expenses. Certain deemed distributions of participant loans	2015-12-31	$63,120
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$342,913
Value of total assets at end of year	2015-12-31	$9,007,919
Value of total assets at beginning of year	2015-12-31	$8,914,373
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$2,235
Total interest from all sources	2015-12-31	$5,699
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$28,415
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	$28,415
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
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
Participant contributions at end of year	2015-12-31	$152,617
Participant contributions at beginning of year	2015-12-31	$161,342
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	$93,546
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$9,007,919
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$8,914,373
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	$3,483,546
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$3,535,159
Value of interest in pooled separate accounts at end of year	2015-12-31	$4,041,119
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$3,953,767
Interest on participant loans	2015-12-31	$5,699
Value of interest in common/collective trusts at end of year	2015-12-31	$1,330,637
Value of interest in common/collective trusts at beginning of year	2015-12-31	$1,264,105
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-115,286
Net investment gain/loss from pooled separate accounts	2015-12-31	$111,662
Net investment gain or loss from common/collective trusts	2015-12-31	$7,725
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	$342,913
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$222,227
Contract administrator fees	2015-12-31	$2,235
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 DEFINED CONTRIBUTION PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$10,878
Total income from all sources (including contributions)	2014-12-31	$1,185,037
Total of all expenses incurred	2014-12-31	$192,677
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$190,493
Expenses. Certain deemed distributions of participant loans	2014-12-31	$1,641
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$750,164
Value of total assets at end of year	2014-12-31	$9,316,841
Value of total assets at beginning of year	2014-12-31	$8,313,603
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$2,184
Total interest from all sources	2014-12-31	$6,110
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$32,362
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	$32,362
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
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
Participant contributions at end of year	2014-12-31	$162,233
Participant contributions at beginning of year	2014-12-31	$154,507
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$10,878
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	$992,360
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$9,305,963
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$8,313,603
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	$3,535,159
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$3,386,581
Value of interest in pooled separate accounts at end of year	2014-12-31	$3,953,767
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$3,586,302
Interest on participant loans	2014-12-31	$6,110
Value of interest in common/collective trusts at end of year	2014-12-31	$1,264,105
Value of interest in common/collective trusts at beginning of year	2014-12-31	$1,186,213
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$129,129
Net investment gain/loss from pooled separate accounts	2014-12-31	$259,285
Net investment gain or loss from common/collective trusts	2014-12-31	$7,987
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	$750,164
Employer contributions (assets) at end of year	2014-12-31	$401,577
Employer contributions (assets) at beginning of year	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$190,493
Contract administrator fees	2014-12-31	$2,184
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
2011 : MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$-263,409
Total of all expenses incurred	2011-12-31	$433,058
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$431,647
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$481,508
Value of total assets at end of year	2011-12-31	$6,615,320
Value of total assets at beginning of year	2011-12-31	$7,311,787
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,411
Total interest from all sources	2011-12-31	$7,141
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$25,496
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	$25,496
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
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
Participant contributions at end of year	2011-12-31	$215,495
Participant contributions at beginning of year	2011-12-31	$156,207
Other income not declared elsewhere	2011-12-31	$-628,866
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	$-696,467
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$6,615,320
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$7,311,787
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	$2,610,076
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$3,300,183
Value of interest in pooled separate accounts at end of year	2011-12-31	$2,542,698
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$2,719,357
Interest on participant loans	2011-12-31	$7,141
Value of interest in common/collective trusts at end of year	2011-12-31	$1,247,051
Value of interest in common/collective trusts at beginning of year	2011-12-31	$497,267
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-148,072
Net investment gain/loss from pooled separate accounts	2011-12-31	$-38,671
Net investment gain or loss from common/collective trusts	2011-12-31	$38,055
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	$481,508
Employer contributions (assets) at beginning of year	2011-12-31	$638,773
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$431,647
Contract administrator fees	2011-12-31	$1,411
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 DEFINED CONTRIBUTION PLAN 2010 401k financial data
Total income from all sources (including contributions)	2010-12-31	$1,193,245
Total of all expenses incurred	2010-12-31	$435,082
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$434,010
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,183,610
Value of total assets at end of year	2010-12-31	$7,311,787
Value of total assets at beginning of year	2010-12-31	$6,553,624
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,072
Total interest from all sources	2010-12-31	$5,685
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$18,694
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	$18,694
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$10,000,000
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
Participant contributions at end of year	2010-12-31	$156,207
Participant contributions at beginning of year	2010-12-31	$109,870
Other income not declared elsewhere	2010-12-31	$-665,045
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	$758,163
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$7,311,787
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$6,553,624
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	$3,300,183
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$2,613,180
Value of interest in pooled separate accounts at end of year	2010-12-31	$2,719,357
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$2,307,403
Interest on participant loans	2010-12-31	$5,685
Value of interest in common/collective trusts at end of year	2010-12-31	$497,267
Value of interest in common/collective trusts at beginning of year	2010-12-31	$809,289
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$254,323
Net investment gain/loss from pooled separate accounts	2010-12-31	$379,318
Net investment gain or loss from common/collective trusts	2010-12-31	$16,660
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	$1,183,610
Employer contributions (assets) at end of year	2010-12-31	$638,773
Employer contributions (assets) at beginning of year	2010-12-31	$713,882
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$434,010
Contract administrator fees	2010-12-31	$1,072
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 DEFINED CONTRIBUTION PLAN

2017: MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	This submission is the final filing	Yes
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 DEFINED CONTRIBUTION 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 DEFINED CONTRIBUTION 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 DEFINED CONTRIBUTION PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
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
2011: MAXIM GROUP, LLC DEFINED CONTRIBUTION 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
2009: MAXIM GROUP, LLC DEFINED CONTRIBUTION 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

705228

Policy instance

Insurance contract or identification number	705228
Number of Individuals Covered	0
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of fees paid to insurance company	USD $2,443
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	2443
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

705228

Policy instance

Insurance contract or identification number	705228
Number of Individuals Covered	192
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 $491
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	491
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

705228

Policy instance

Insurance contract or identification number	705228
Number of Individuals Covered	207
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

7-05228

Policy instance

Insurance contract or identification number	7-05228
Number of Individuals Covered	186
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

7-05228

Policy instance

Insurance contract or identification number	7-05228
Number of Individuals Covered	181
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