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WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 401k Plan overview

Plan NameWALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN
Plan identification number 001

WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Plan covering Self-Employed individuals.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

WALL STREET ACCESS has sponsored the creation of one or more 401k plans.

Company Name:WALL STREET ACCESS
Employer identification number (EIN):133057481
NAIC Classification:523120
NAIC Description:Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01JOHN MITCHELL2023-09-25 JOHN MITCHELL2023-09-25
0012021-01-01JOHN MITCHELL2022-06-23 JOHN MITCHELL2022-06-23
0012020-01-01PETER LORSON2021-06-03
0012018-01-01PETER LORSON PETER LORSON2019-06-18
0012017-01-01PETER LORSON PETER LORSON2018-06-19
0012016-01-01PETER LORSON PETER LORSON2017-08-17
0012016-01-01
0012015-01-01PETER LORSON PETER LORSON2016-07-13
0012014-01-01PETER LORSON PETER LORSON2015-07-17
0012013-01-01PETER LORSON PETER LORSON2014-07-17
0012012-01-01PETER LORSON
0012011-01-01PETER LORSON
0012009-01-01VALERIE A TAVANA

Plan Statistics for WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

401k plan membership statisitcs for WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

Measure Date Value
2018: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-0164
Total number of active participants reported on line 7a of the Form 55002018-01-0127
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0131
Total of all active and inactive participants2018-01-0158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-0158
Number of participants with account balances2018-01-0158
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-0172
Total number of active participants reported on line 7a of the Form 55002017-01-0131
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0133
Total of all active and inactive participants2017-01-0164
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-0164
Number of participants with account balances2017-01-0164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-011
2016: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-0180
Total number of active participants reported on line 7a of the Form 55002016-01-0137
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0135
Total of all active and inactive participants2016-01-0172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0172
Number of participants with account balances2016-01-0172
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0177
Total number of active participants reported on line 7a of the Form 55002015-01-0145
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0135
Total of all active and inactive participants2015-01-0180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-0180
Number of participants with account balances2015-01-0180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0198
Total number of active participants reported on line 7a of the Form 55002014-01-0133
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0142
Total of all active and inactive participants2014-01-0175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0175
Number of participants with account balances2014-01-0175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0197
Total number of active participants reported on line 7a of the Form 55002013-01-0151
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0147
Total of all active and inactive participants2013-01-0198
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0198
Number of participants with account balances2013-01-0179
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01101
Total number of active participants reported on line 7a of the Form 55002012-01-0144
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0153
Total of all active and inactive participants2012-01-0197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0197
Number of participants with account balances2012-01-0176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-013
2011: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01124
Total number of active participants reported on line 7a of the Form 55002011-01-0150
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0151
Total of all active and inactive participants2011-01-01101
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01101
Number of participants with account balances2011-01-0189
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-015
2009: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0176
Total number of active participants reported on line 7a of the Form 55002009-01-0180
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0144
Total of all active and inactive participants2009-01-01124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01124
Number of participants with account balances2009-01-01107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-012

Financial Data on WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

Measure Date Value
2018 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2018 401k financial data
Total income from all sources2018-12-31$-423,199
Expenses. Total of all expenses incurred2018-12-31$582,519
Benefits paid (including direct rollovers)2018-12-31$556,696
Total plan assets at end of year2018-12-31$9,145,261
Total plan assets at beginning of year2018-12-31$10,150,979
Value of fidelity bond covering the plan2018-12-31$1,000,000
Total contributions received or receivable from participants2018-12-31$260,532
Other income received2018-12-31$-683,731
Net income (gross income less expenses)2018-12-31$-1,005,718
Net plan assets at end of year (total assets less liabilities)2018-12-31$9,145,261
Net plan assets at beginning of year (total assets less liabilities)2018-12-31$10,150,979
Assets. Value of participant loans2018-12-31$75,191
Expenses. Administrative service providers (salaries,fees and commissions)2018-12-31$25,823
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
2017 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2017 401k financial data
Total income from all sources2017-12-31$1,967,564
Expenses. Total of all expenses incurred2017-12-31$889,008
Benefits paid (including direct rollovers)2017-12-31$865,006
Total plan assets at end of year2017-12-31$10,150,979
Total plan assets at beginning of year2017-12-31$9,072,423
Value of fidelity bond covering the plan2017-12-31$1,000,000
Total contributions received or receivable from participants2017-12-31$225,957
Other income received2017-12-31$1,741,607
Net income (gross income less expenses)2017-12-31$1,078,556
Net plan assets at end of year (total assets less liabilities)2017-12-31$10,150,979
Net plan assets at beginning of year (total assets less liabilities)2017-12-31$9,072,423
Assets. Value of participant loans2017-12-31$94,757
Expenses. Administrative service providers (salaries,fees and commissions)2017-12-31$24,002
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
2016 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2016 401k financial data
Total income from all sources2016-12-31$978,316
Expenses. Total of all expenses incurred2016-12-31$315,942
Benefits paid (including direct rollovers)2016-12-31$294,007
Total plan assets at end of year2016-12-31$9,072,423
Total plan assets at beginning of year2016-12-31$8,410,049
Value of fidelity bond covering the plan2016-12-31$1,000,000
Total contributions received or receivable from participants2016-12-31$252,898
Other income received2016-12-31$725,418
Net income (gross income less expenses)2016-12-31$662,374
Net plan assets at end of year (total assets less liabilities)2016-12-31$9,072,423
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$8,410,049
Assets. Value of participant loans2016-12-31$37,282
Expenses. Administrative service providers (salaries,fees and commissions)2016-12-31$21,935
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
2015 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2015 401k financial data
Total income from all sources2015-12-31$149,326
Expenses. Total of all expenses incurred2015-12-31$1,195,289
Benefits paid (including direct rollovers)2015-12-31$1,174,451
Total plan assets at end of year2015-12-31$8,410,049
Total plan assets at beginning of year2015-12-31$9,456,012
Value of fidelity bond covering the plan2015-12-31$1,000,000
Total contributions received or receivable from participants2015-12-31$268,316
Contributions received from other sources (not participants or employers)2015-12-31$359
Other income received2015-12-31$-119,349
Net income (gross income less expenses)2015-12-31$-1,045,963
Net plan assets at end of year (total assets less liabilities)2015-12-31$8,410,049
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$9,456,012
Assets. Value of participant loans2015-12-31$81,654
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$20,838
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
2014 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2014 401k financial data
Total income from all sources2014-12-31$668,423
Expenses. Total of all expenses incurred2014-12-31$628,526
Benefits paid (including direct rollovers)2014-12-31$604,360
Total plan assets at end of year2014-12-31$9,456,012
Total plan assets at beginning of year2014-12-31$9,416,115
Value of fidelity bond covering the plan2014-12-31$1,000,000
Total contributions received or receivable from participants2014-12-31$247,234
Other income received2014-12-31$421,189
Net income (gross income less expenses)2014-12-31$39,897
Net plan assets at end of year (total assets less liabilities)2014-12-31$9,456,012
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$9,416,115
Assets. Value of participant loans2014-12-31$80,574
Total contributions received or receivable from employer(s)2014-12-31$0
Value of certain deemed distributions of participant loans2014-12-31$854
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$23,312
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
2013 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2013 401k financial data
Total income from all sources2013-12-31$2,384,980
Expenses. Total of all expenses incurred2013-12-31$1,388,088
Benefits paid (including direct rollovers)2013-12-31$1,334,472
Total plan assets at end of year2013-12-31$9,416,115
Total plan assets at beginning of year2013-12-31$8,419,223
Value of fidelity bond covering the plan2013-12-31$1,000,000
Total contributions received or receivable from participants2013-12-31$225,194
Other income received2013-12-31$2,159,786
Net income (gross income less expenses)2013-12-31$996,892
Net plan assets at end of year (total assets less liabilities)2013-12-31$9,416,115
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$8,419,223
Assets. Value of participant loans2013-12-31$82,653
Value of corrective distributions2013-12-31$26,160
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$27,456
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$1,443,428
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,417,249
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,356,913
Value of total corrective distributions2012-12-31$20,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$390,607
Value of total assets at end of year2012-12-31$8,419,223
Value of total assets at beginning of year2012-12-31$8,393,044
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$40,336
Total interest from all sources2012-12-31$20,120
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$102,143
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$102,143
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$247,629
Participant contributions at end of year2012-12-31$62,623
Participant contributions at beginning of year2012-12-31$117,013
Assets. Other investments not covered elsewhere at end of year2012-12-31$269,258
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$142,978
Other income not declared elsewhere2012-12-31$40,731
Administrative expenses (other) incurred2012-12-31$40,336
Total non interest bearing cash at end of year2012-12-31$0
Total non interest bearing cash at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$26,179
Value of net assets at end of year (total assets less liabilities)2012-12-31$8,419,223
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$8,393,044
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$7,369,770
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$7,523,036
Interest on participant loans2012-12-31$3,264
Interest earned on other investments2012-12-31$16,856
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$717,572
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$752,995
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$889,827
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,356,913
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31ROTHSTEIN KASS & COMPANY
Accountancy firm EIN2012-12-31222131009
2011 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$417,402
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,304,690
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,285,704
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$771,971
Value of total assets at end of year2011-12-31$8,393,044
Value of total assets at beginning of year2011-12-31$9,280,332
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$18,986
Total interest from all sources2011-12-31$21,114
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$110,656
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$110,656
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$490,041
Participant contributions at end of year2011-12-31$117,013
Participant contributions at beginning of year2011-12-31$138,636
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$121,892
Other income not declared elsewhere2011-12-31$16,757
Administrative expenses (other) incurred2011-12-31$18,986
Total non interest bearing cash at end of year2011-12-31$0
Total non interest bearing cash at beginning of year2011-12-31$241
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-887,288
Value of net assets at end of year (total assets less liabilities)2011-12-31$8,393,044
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$9,280,332
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$7,523,036
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$8,350,246
Interest on participant loans2011-12-31$4,548
Interest earned on other investments2011-12-31$16,566
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$752,995
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$791,209
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-503,096
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$160,038
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,285,704
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31ROTHSTEIN KASS & COMPANY
Accountancy firm EIN2011-12-31222131009
2010 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$2,013,165
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$479,634
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$478,617
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$963,937
Value of total assets at end of year2010-12-31$9,280,332
Value of total assets at beginning of year2010-12-31$7,746,801
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,017
Total interest from all sources2010-12-31$23,309
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$117,177
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$117,177
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$684,507
Participant contributions at end of year2010-12-31$138,636
Participant contributions at beginning of year2010-12-31$141,064
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$35,572
Other income not declared elsewhere2010-12-31$240
Administrative expenses (other) incurred2010-12-31$1,017
Total non interest bearing cash at end of year2010-12-31$241
Total non interest bearing cash at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$1,533,531
Value of net assets at end of year (total assets less liabilities)2010-12-31$9,280,332
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$7,746,801
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$8,350,246
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$6,873,670
Interest on participant loans2010-12-31$5,447
Interest earned on other investments2010-12-31$17,862
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$791,209
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$732,067
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$908,502
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$243,858
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$478,617
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31ROTHSTEIN KASS & COMPANY
Accountancy firm EIN2010-12-31222131009
2009 : WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN

2018: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: WALL STREET ACCESS 401(K) SAVINGS AND RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number040381
Policy instance 1
Insurance contract or identification number040381
Number of Individuals Covered58
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number040381
Policy instance 1
Insurance contract or identification number040381
Number of Individuals Covered64
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number040381
Policy instance 1
Insurance contract or identification number040381
Number of Individuals Covered80
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number040381
Policy instance 1
Insurance contract or identification number040381
Number of Individuals Covered75
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number40381
Policy instance 1
Insurance contract or identification number40381
Number of Individuals Covered98
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number40381
Policy instance 1
Insurance contract or identification number40381
Number of Individuals Covered97
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number40381
Policy instance 1
Insurance contract or identification number40381
Number of Individuals Covered101
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $489
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number40381
Policy instance 1
Insurance contract or identification number40381
Number of Individuals Covered124
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,342
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees1342
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameNRP FINANCIAL, INC.

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