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OPPENHEIMER & CO. INC. 401(K) PLAN 401k Plan overview

Plan NameOPPENHEIMER & CO. INC. 401(K) PLAN
Plan identification number 001

OPPENHEIMER & CO. INC. 401(K) 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.
  • 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 sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

OPPENHEIMER & CO. INC. has sponsored the creation of one or more 401k plans.

Company Name:OPPENHEIMER & CO. INC.
Employer identification number (EIN):135657518
NAIC Classification:523120
NAIC Description:Securities Brokerage

Additional information about OPPENHEIMER & CO. INC.

Jurisdiction of Incorporation: New York Department of State
Incorporation Date: 1954-12-23
Company Identification Number: 96185
Legal Registered Office Address: 80 STATE STREET
New York
ALBANY
United States of America (USA)
12207

More information about OPPENHEIMER & CO. INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OPPENHEIMER & CO. INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01LENORE DENYS
0012017-01-01LENORE DENYS
0012016-01-01LENORE DENYS
0012015-01-01LENORE DENYS
0012014-01-01LENORE DENYS
0012013-01-01LENORE DENYS
0012012-01-01LENORE DENYS
0012011-01-01LENORE DENYS LENORE DENYS2012-07-18
0012009-01-01LENORE DENYS

Plan Statistics for OPPENHEIMER & CO. INC. 401(K) PLAN

401k plan membership statisitcs for OPPENHEIMER & CO. INC. 401(K) PLAN

Measure Date Value
2022: OPPENHEIMER & CO. INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-013,616
Total number of active participants reported on line 7a of the Form 55002022-01-012,814
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01842
Total of all active and inactive participants2022-01-013,656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0112
Total participants2022-01-013,668
Number of participants with account balances2022-01-013,601
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-01318
2021: OPPENHEIMER & CO. INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-013,587
Total number of active participants reported on line 7a of the Form 55002021-01-012,804
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01800
Total of all active and inactive participants2021-01-013,604
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0112
Total participants2021-01-013,616
Number of participants with account balances2021-01-013,549
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-01296
2020: OPPENHEIMER & CO. INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-013,614
Total number of active participants reported on line 7a of the Form 55002020-01-012,809
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01745
Total of all active and inactive participants2020-01-013,554
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-0133
Total participants2020-01-013,587
Number of participants with account balances2020-01-013,514
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-01184
2019: OPPENHEIMER & CO. INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-013,672
Total number of active participants reported on line 7a of the Form 55002019-01-012,871
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01736
Total of all active and inactive participants2019-01-013,607
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-017
Total participants2019-01-013,614
Number of participants with account balances2019-01-013,529
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-01341
2018: OPPENHEIMER & CO. INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-013,682
Total number of active participants reported on line 7a of the Form 55002018-01-012,875
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01788
Total of all active and inactive participants2018-01-013,663
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-019
Total participants2018-01-013,672
Number of participants with account balances2018-01-013,569
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-01143
2017: OPPENHEIMER & CO. INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-013,713
Total number of active participants reported on line 7a of the Form 55002017-01-012,669
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01735
Total of all active and inactive participants2017-01-013,404
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-015
Total participants2017-01-013,409
Number of participants with account balances2017-01-013,409
2016: OPPENHEIMER & CO. INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-013,939
Total number of active participants reported on line 7a of the Form 55002016-01-012,995
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01712
Total of all active and inactive participants2016-01-013,707
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-016
Total participants2016-01-013,713
Number of participants with account balances2016-01-013,398
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-01424
2015: OPPENHEIMER & CO. INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-014,030
Total number of active participants reported on line 7a of the Form 55002015-01-013,177
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01707
Total of all active and inactive participants2015-01-013,884
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-019
Total participants2015-01-013,893
Number of participants with account balances2015-01-013,536
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-01446
2014: OPPENHEIMER & CO. INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-014,071
Total number of active participants reported on line 7a of the Form 55002014-01-013,311
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01675
Total of all active and inactive participants2014-01-013,986
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-017
Total participants2014-01-013,993
Number of participants with account balances2014-01-013,584
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-01448
2013: OPPENHEIMER & CO. INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-014,011
Total number of active participants reported on line 7a of the Form 55002013-01-013,391
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01630
Total of all active and inactive participants2013-01-014,021
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-015
Total participants2013-01-014,026
Number of participants with account balances2013-01-013,627
2012: OPPENHEIMER & CO. INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-014,069
Total number of active participants reported on line 7a of the Form 55002012-01-013,407
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01578
Total of all active and inactive participants2012-01-013,985
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-019
Total participants2012-01-013,994
Number of participants with account balances2012-01-013,608
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-01405
2011: OPPENHEIMER & CO. INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-014,245
Total number of active participants reported on line 7a of the Form 55002011-01-013,470
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01562
Total of all active and inactive participants2011-01-014,032
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0110
Total participants2011-01-014,042
Number of participants with account balances2011-01-013,592
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-01464
2009: OPPENHEIMER & CO. INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-014,188
Total number of active participants reported on line 7a of the Form 55002009-01-013,576
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01621
Total of all active and inactive participants2009-01-014,197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-014,197
Number of participants with account balances2009-01-013,590
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0187

Financial Data on OPPENHEIMER & CO. INC. 401(K) PLAN

Measure Date Value
2022 : OPPENHEIMER & CO. INC. 401(K) PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2022-12-31$-1,551,716
Total unrealized appreciation/depreciation of assets2022-12-31$-1,551,716
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-72,720,402
Total loss/gain on sale of assets2022-12-31$-967,780
Total of all expenses incurred2022-12-31$35,111,764
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$34,988,167
Value of total corrective distributions2022-12-31$5,728
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$38,044,174
Value of total assets at end of year2022-12-31$516,771,931
Value of total assets at beginning of year2022-12-31$624,604,097
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$117,869
Total interest from all sources2022-12-31$320,623
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$7,106,330
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$6,711,919
Administrative expenses professional fees incurred2022-12-31$45,000
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$15,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$30,589,581
Participant contributions at end of year2022-12-31$6,976,385
Participant contributions at beginning of year2022-12-31$6,262,909
Assets. Other investments not covered elsewhere at end of year2022-12-31$340,874
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$455,895
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$3,302,526
Other income not declared elsewhere2022-12-31$97,846
Total non interest bearing cash at end of year2022-12-31$6,808
Total non interest bearing cash at beginning of year2022-12-31$93
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-107,832,166
Value of net assets at end of year (total assets less liabilities)2022-12-31$516,771,931
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$624,604,097
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$100
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$425,199,332
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$532,927,526
Interest on participant loans2022-12-31$320,623
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$53,065,076
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$50,656,212
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$50,656,212
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-115,769,879
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Assets. Invements in employer securities at end of year2022-12-31$27,093,317
Assets. Invements in employer securities at beginning of year2022-12-31$30,267,600
Contributions received in cash from employer2022-12-31$4,152,067
Employer contributions (assets) at end of year2022-12-31$4,090,139
Employer contributions (assets) at beginning of year2022-12-31$4,033,862
Income. Dividends from common stock2022-12-31$394,411
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$34,988,167
Contract administrator fees2022-12-31$72,769
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Aggregate proceeds on sale of assets2022-12-31$-2,986,761
Aggregate carrying amount (costs) on sale of assets2022-12-31$-2,018,981
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2022-12-31381357951
2021 : OPPENHEIMER & CO. INC. 401(K) PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2021-12-31$14,405,192
Total unrealized appreciation/depreciation of assets2021-12-31$14,405,192
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$115,997,540
Total loss/gain on sale of assets2021-12-31$-3,296,735
Total of all expenses incurred2021-12-31$33,289,359
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$33,180,602
Value of total corrective distributions2021-12-31$7,828
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$35,934,665
Value of total assets at end of year2021-12-31$624,604,097
Value of total assets at beginning of year2021-12-31$541,895,916
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$100,929
Total interest from all sources2021-12-31$320,415
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$6,633,748
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$5,638,083
Administrative expenses professional fees incurred2021-12-31$41,600
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$15,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$29,198,736
Participant contributions at end of year2021-12-31$6,262,909
Participant contributions at beginning of year2021-12-31$6,590,371
Assets. Other investments not covered elsewhere at end of year2021-12-31$455,895
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$438,839
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$2,512,648
Other income not declared elsewhere2021-12-31$80,148
Total non interest bearing cash at end of year2021-12-31$93
Total non interest bearing cash at beginning of year2021-12-31$66
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$82,708,181
Value of net assets at end of year (total assets less liabilities)2021-12-31$624,604,097
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$541,895,916
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$532,927,526
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$454,817,060
Interest on participant loans2021-12-31$320,415
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$50,656,212
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$53,459,468
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$53,459,468
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$61,920,107
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Assets. Invements in employer securities at end of year2021-12-31$30,267,600
Assets. Invements in employer securities at beginning of year2021-12-31$23,369,934
Contributions received in cash from employer2021-12-31$4,223,281
Employer contributions (assets) at end of year2021-12-31$4,033,862
Employer contributions (assets) at beginning of year2021-12-31$3,220,178
Income. Dividends from common stock2021-12-31$995,665
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$33,180,602
Contract administrator fees2021-12-31$59,329
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Aggregate proceeds on sale of assets2021-12-31$-7,088,873
Aggregate carrying amount (costs) on sale of assets2021-12-31$-3,792,138
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2021-12-31381357951
2020 : OPPENHEIMER & CO. INC. 401(K) PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$3,246,338
Total unrealized appreciation/depreciation of assets2020-12-31$3,246,338
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$113,963,733
Total loss/gain on sale of assets2020-12-31$-122,204
Total of all expenses incurred2020-12-31$28,509,130
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$28,399,917
Value of total corrective distributions2020-12-31$7,828
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$33,454,041
Value of total assets at end of year2020-12-31$541,895,916
Value of total assets at beginning of year2020-12-31$456,441,313
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$101,385
Total interest from all sources2020-12-31$533,268
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$4,826,364
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$3,748,065
Administrative expenses professional fees incurred2020-12-31$35,500
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$15,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$26,307,952
Participant contributions at end of year2020-12-31$6,590,371
Participant contributions at beginning of year2020-12-31$6,957,838
Assets. Other investments not covered elsewhere at end of year2020-12-31$438,839
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$433,589
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$3,740,064
Other income not declared elsewhere2020-12-31$66,515
Total non interest bearing cash at end of year2020-12-31$66
Total non interest bearing cash at beginning of year2020-12-31$120,072
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$85,454,603
Value of net assets at end of year (total assets less liabilities)2020-12-31$541,895,916
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$456,441,313
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$454,817,060
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$380,822,397
Interest on participant loans2020-12-31$364,943
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$53,459,468
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$46,769,081
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$46,769,081
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$168,325
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$71,959,411
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Assets. Invements in employer securities at end of year2020-12-31$23,369,934
Assets. Invements in employer securities at beginning of year2020-12-31$19,143,145
Contributions received in cash from employer2020-12-31$3,406,025
Employer contributions (assets) at end of year2020-12-31$3,220,178
Employer contributions (assets) at beginning of year2020-12-31$2,195,191
Income. Dividends from common stock2020-12-31$1,078,299
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$28,399,917
Contract administrator fees2020-12-31$65,885
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Aggregate proceeds on sale of assets2020-12-31$2,134,969
Aggregate carrying amount (costs) on sale of assets2020-12-31$2,257,173
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2020-12-31381357951
2019 : OPPENHEIMER & CO. INC. 401(K) PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$985,970
Total unrealized appreciation/depreciation of assets2019-12-31$985,970
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$110,698,455
Total loss/gain on sale of assets2019-12-31$378,638
Total of all expenses incurred2019-12-31$34,495,132
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$34,385,194
Value of total corrective distributions2019-12-31$7,951
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$30,370,333
Value of total assets at end of year2019-12-31$456,441,313
Value of total assets at beginning of year2019-12-31$380,237,990
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$101,987
Total interest from all sources2019-12-31$1,304,713
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$5,160,045
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$4,781,206
Administrative expenses professional fees incurred2019-12-31$35,000
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$15,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$23,974,750
Participant contributions at end of year2019-12-31$6,957,838
Participant contributions at beginning of year2019-12-31$6,724,087
Assets. Other investments not covered elsewhere at end of year2019-12-31$433,589
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$434,673
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$4,064,089
Other income not declared elsewhere2019-12-31$-10,397
Total non interest bearing cash at end of year2019-12-31$120,072
Total non interest bearing cash at beginning of year2019-12-31$542
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$76,203,323
Value of net assets at end of year (total assets less liabilities)2019-12-31$456,441,313
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$380,237,990
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$380,822,397
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$314,649,606
Interest on participant loans2019-12-31$406,731
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$46,769,081
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$38,100,764
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$38,100,764
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$897,982
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$72,509,153
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Assets. Invements in employer securities at end of year2019-12-31$19,143,145
Assets. Invements in employer securities at beginning of year2019-12-31$18,380,312
Contributions received in cash from employer2019-12-31$2,331,494
Employer contributions (assets) at end of year2019-12-31$2,195,191
Employer contributions (assets) at beginning of year2019-12-31$1,948,006
Income. Dividends from common stock2019-12-31$378,839
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$34,385,194
Contract administrator fees2019-12-31$66,987
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$3,799,726
Aggregate carrying amount (costs) on sale of assets2019-12-31$3,421,088
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2019-12-31381357951
2018 : OPPENHEIMER & CO. INC. 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-749,499
Total unrealized appreciation/depreciation of assets2018-12-31$-749,499
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$6,418,718
Total loss/gain on sale of assets2018-12-31$-20,895
Total of all expenses incurred2018-12-31$26,461,986
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$26,339,339
Value of total corrective distributions2018-12-31$8,674
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$28,794,602
Value of total assets at end of year2018-12-31$380,237,990
Value of total assets at beginning of year2018-12-31$400,281,258
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$113,973
Total interest from all sources2018-12-31$947,800
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$4,493,092
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$4,165,824
Administrative expenses professional fees incurred2018-12-31$34,000
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$15,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$23,146,156
Participant contributions at end of year2018-12-31$6,724,087
Participant contributions at beginning of year2018-12-31$6,854,417
Assets. Other investments not covered elsewhere at end of year2018-12-31$434,673
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$436,527
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$3,664,513
Other income not declared elsewhere2018-12-31$8,310
Total non interest bearing cash at end of year2018-12-31$542
Total non interest bearing cash at beginning of year2018-12-31$27
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-20,043,268
Value of net assets at end of year (total assets less liabilities)2018-12-31$380,237,990
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$400,281,258
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$314,649,606
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$332,604,023
Interest on participant loans2018-12-31$330,189
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$38,100,764
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$37,776,801
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$37,776,801
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$617,611
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-27,054,692
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Assets. Invements in employer securities at end of year2018-12-31$18,380,312
Assets. Invements in employer securities at beginning of year2018-12-31$21,179,424
Contributions received in cash from employer2018-12-31$1,983,933
Employer contributions (assets) at end of year2018-12-31$1,948,006
Employer contributions (assets) at beginning of year2018-12-31$1,430,039
Income. Dividends from common stock2018-12-31$327,268
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$26,339,339
Contract administrator fees2018-12-31$79,973
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$4,124,022
Aggregate carrying amount (costs) on sale of assets2018-12-31$4,144,917
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2018-12-31381357951
2017 : OPPENHEIMER & CO. INC. 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$7,595,899
Total unrealized appreciation/depreciation of assets2017-12-31$7,595,899
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning 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$90,475,446
Total loss/gain on sale of assets2017-12-31$-27,572
Total of all expenses incurred2017-12-31$37,576,726
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$37,455,092
Value of total corrective distributions2017-12-31$11,720
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$25,956,284
Value of total assets at end of year2017-12-31$400,281,258
Value of total assets at beginning of year2017-12-31$347,382,538
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$109,914
Total interest from all sources2017-12-31$595,129
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$4,287,258
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$3,647,729
Administrative expenses professional fees incurred2017-12-31$34,000
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$15,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$21,746,306
Participant contributions at end of year2017-12-31$6,854,417
Participant contributions at beginning of year2017-12-31$7,435,583
Assets. Other investments not covered elsewhere at end of year2017-12-31$436,527
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$417,667
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$2,840,659
Other income not declared elsewhere2017-12-31$34,569
Total non interest bearing cash at end of year2017-12-31$27
Total non interest bearing cash at beginning of year2017-12-31$145,268
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$52,898,720
Value of net assets at end of year (total assets less liabilities)2017-12-31$400,281,258
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$347,382,538
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$332,604,023
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$281,884,736
Interest on participant loans2017-12-31$315,103
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$37,776,801
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$37,396,714
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$37,396,714
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$280,026
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$52,033,879
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Assets. Invements in employer securities at end of year2017-12-31$21,179,424
Assets. Invements in employer securities at beginning of year2017-12-31$19,200,222
Contributions received in cash from employer2017-12-31$1,369,319
Employer contributions (assets) at end of year2017-12-31$1,430,039
Employer contributions (assets) at beginning of year2017-12-31$902,348
Income. Dividends from common stock2017-12-31$639,529
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$37,455,092
Contract administrator fees2017-12-31$75,914
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$6,742,361
Aggregate carrying amount (costs) on sale of assets2017-12-31$6,769,933
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2017-12-31381357951
2016 : OPPENHEIMER & CO. INC. 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$1,654,571
Total unrealized appreciation/depreciation of assets2016-12-31$1,654,571
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$45,718,978
Total loss/gain on sale of assets2016-12-31$-545,905
Total of all expenses incurred2016-12-31$28,357,357
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$28,270,435
Value of total corrective distributions2016-12-31$2,656
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$23,359,057
Value of total assets at end of year2016-12-31$347,382,538
Value of total assets at beginning of year2016-12-31$330,020,917
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$84,266
Total interest from all sources2016-12-31$409,930
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$3,652,129
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$3,149,069
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$15,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$21,409,811
Participant contributions at end of year2016-12-31$7,435,583
Participant contributions at beginning of year2016-12-31$7,626,565
Assets. Other investments not covered elsewhere at end of year2016-12-31$417,667
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$398,515
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$798,554
Other income not declared elsewhere2016-12-31$34,546
Total non interest bearing cash at end of year2016-12-31$145,268
Total non interest bearing cash at beginning of year2016-12-31$1,382
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$17,361,621
Value of net assets at end of year (total assets less liabilities)2016-12-31$347,382,538
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$330,020,917
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$52,266
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$281,884,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$265,674,114
Interest on participant loans2016-12-31$327,340
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$37,396,714
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$34,390,123
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$34,390,123
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$82,590
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$17,154,650
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Assets. Invements in employer securities at end of year2016-12-31$19,200,222
Assets. Invements in employer securities at beginning of year2016-12-31$20,828,279
Contributions received in cash from employer2016-12-31$1,150,692
Employer contributions (assets) at end of year2016-12-31$902,348
Employer contributions (assets) at beginning of year2016-12-31$1,101,939
Income. Dividends from common stock2016-12-31$503,060
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$28,270,435
Contract administrator fees2016-12-31$32,000
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$5,162,621
Aggregate carrying amount (costs) on sale of assets2016-12-31$5,708,526
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2016-12-31381357951
2015 : OPPENHEIMER & CO. INC. 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-6,772,032
Total unrealized appreciation/depreciation of assets2015-12-31$-6,772,032
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$16,637,180
Total loss/gain on sale of assets2015-12-31$-3,230
Total of all expenses incurred2015-12-31$32,203,231
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$32,087,162
Value of total corrective distributions2015-12-31$9,447
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$25,718,226
Value of total assets at end of year2015-12-31$330,020,917
Value of total assets at beginning of year2015-12-31$345,586,968
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$106,622
Total interest from all sources2015-12-31$343,662
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$3,573,403
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$3,044,703
Administrative expenses professional fees incurred2015-12-31$39,332
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$15,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$22,602,452
Participant contributions at end of year2015-12-31$7,626,565
Participant contributions at beginning of year2015-12-31$7,863,927
Assets. Other investments not covered elsewhere at end of year2015-12-31$398,515
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$379,475
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$1,631,328
Other income not declared elsewhere2015-12-31$34,434
Total non interest bearing cash at end of year2015-12-31$1,382
Total non interest bearing cash at beginning of year2015-12-31$24,357
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-15,566,051
Value of net assets at end of year (total assets less liabilities)2015-12-31$330,020,917
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$345,586,968
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$265,674,114
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$272,011,672
Interest on participant loans2015-12-31$338,273
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$34,390,123
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$35,808,020
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$35,808,020
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$5,389
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-6,257,283
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Assets. Invements in employer securities at end of year2015-12-31$20,828,279
Assets. Invements in employer securities at beginning of year2015-12-31$28,171,490
Contributions received in cash from employer2015-12-31$1,484,446
Employer contributions (assets) at end of year2015-12-31$1,101,939
Employer contributions (assets) at beginning of year2015-12-31$1,328,027
Income. Dividends from common stock2015-12-31$528,700
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$32,087,162
Contract administrator fees2015-12-31$67,290
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$5,885,494
Aggregate carrying amount (costs) on sale of assets2015-12-31$5,888,724
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2015-12-31381357951
2014 : OPPENHEIMER & CO. INC. 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$-1,420,679
Total unrealized appreciation/depreciation of assets2014-12-31$-1,420,679
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$40,282,914
Total loss/gain on sale of assets2014-12-31$-235,271
Total of all expenses incurred2014-12-31$23,887,723
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$23,753,988
Expenses. Certain deemed distributions of participant loans2014-12-31$10,144
Value of total corrective distributions2014-12-31$5,208
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$26,702,879
Value of total assets at end of year2014-12-31$345,586,968
Value of total assets at beginning of year2014-12-31$329,191,777
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$118,383
Total interest from all sources2014-12-31$351,578
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$3,443,423
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$2,894,080
Administrative expenses professional fees incurred2014-12-31$31,600
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$15,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$22,669,192
Participant contributions at end of year2014-12-31$7,863,927
Participant contributions at beginning of year2014-12-31$6,812,685
Assets. Other investments not covered elsewhere at end of year2014-12-31$379,475
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$474,591
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$2,408,450
Total non interest bearing cash at end of year2014-12-31$24,357
Total non interest bearing cash at beginning of year2014-12-31$21,798
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$16,395,191
Value of net assets at end of year (total assets less liabilities)2014-12-31$345,586,968
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$329,191,777
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$272,011,672
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$252,461,491
Interest on participant loans2014-12-31$344,047
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$35,808,020
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$35,851,278
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$35,851,278
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$7,531
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$11,440,984
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Assets. Invements in employer securities at end of year2014-12-31$28,171,490
Assets. Invements in employer securities at beginning of year2014-12-31$32,081,600
Contributions received in cash from employer2014-12-31$1,625,237
Employer contributions (assets) at end of year2014-12-31$1,328,027
Employer contributions (assets) at beginning of year2014-12-31$1,488,334
Income. Dividends from common stock2014-12-31$549,343
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$23,753,988
Contract administrator fees2014-12-31$86,783
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$6,813,833
Aggregate carrying amount (costs) on sale of assets2014-12-31$7,049,104
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2014-12-31381357951
2013 : OPPENHEIMER & CO. INC. 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$8,724,266
Total unrealized appreciation/depreciation of assets2013-12-31$8,724,266
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$79,841,029
Total loss/gain on sale of assets2013-12-31$1,260,625
Total of all expenses incurred2013-12-31$24,637,587
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$24,541,061
Expenses. Certain deemed distributions of participant loans2013-12-31$3,700
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$25,527,443
Value of total assets at end of year2013-12-31$329,191,777
Value of total assets at beginning of year2013-12-31$273,988,335
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$92,826
Total interest from all sources2013-12-31$298,169
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$3,179,428
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$2,587,022
Administrative expenses professional fees incurred2013-12-31$30,100
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$15,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$21,761,626
Participant contributions at end of year2013-12-31$6,812,685
Participant contributions at beginning of year2013-12-31$6,529,932
Assets. Other investments not covered elsewhere at end of year2013-12-31$474,591
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$456,531
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$2,112,705
Other income not declared elsewhere2013-12-31$10,499
Total non interest bearing cash at end of year2013-12-31$21,798
Total non interest bearing cash at beginning of year2013-12-31$22,385
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$55,203,442
Value of net assets at end of year (total assets less liabilities)2013-12-31$329,191,777
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$273,988,335
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$252,461,491
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$208,012,158
Interest on participant loans2013-12-31$291,505
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$35,851,278
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$35,062,001
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$35,062,001
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$6,664
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$40,840,599
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$32,081,600
Assets. Invements in employer securities at beginning of year2013-12-31$22,571,700
Contributions received in cash from employer2013-12-31$1,653,112
Employer contributions (assets) at end of year2013-12-31$1,488,334
Employer contributions (assets) at beginning of year2013-12-31$1,333,628
Income. Dividends from common stock2013-12-31$592,406
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$24,541,061
Contract administrator fees2013-12-31$62,726
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$5,198,699
Aggregate carrying amount (costs) on sale of assets2013-12-31$3,938,074
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2013-12-31381357951
2012 : OPPENHEIMER & CO. INC. 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$1,373,548
Total unrealized appreciation/depreciation of assets2012-12-31$1,373,548
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$54,549,247
Total loss/gain on sale of assets2012-12-31$343,905
Total of all expenses incurred2012-12-31$17,652,420
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$17,208,169
Expenses. Certain deemed distributions of participant loans2012-12-31$362,118
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$24,547,488
Value of total assets at end of year2012-12-31$273,988,335
Value of total assets at beginning of year2012-12-31$237,091,508
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$82,133
Total interest from all sources2012-12-31$307,928
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$3,593,501
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$3,032,758
Administrative expenses professional fees incurred2012-12-31$30,900
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$15,000,000
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$20,822,972
Participant contributions at end of year2012-12-31$6,529,932
Participant contributions at beginning of year2012-12-31$6,198,980
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$0
Assets. Other investments not covered elsewhere at end of year2012-12-31$456,531
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$430,049
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$2,477,209
Other income not declared elsewhere2012-12-31$36,981
Total non interest bearing cash at end of year2012-12-31$22,385
Total non interest bearing cash at beginning of year2012-12-31$27,098
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$36,896,827
Value of net assets at end of year (total assets less liabilities)2012-12-31$273,988,335
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$237,091,508
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$208,012,158
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$177,439,925
Interest on participant loans2012-12-31$301,727
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$35,062,001
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$30,273,122
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$30,273,122
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$6,201
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$24,345,896
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
Assets. Invements in employer securities at end of year2012-12-31$22,571,700
Assets. Invements in employer securities at beginning of year2012-12-31$20,401,324
Contributions received in cash from employer2012-12-31$1,247,307
Employer contributions (assets) at end of year2012-12-31$1,333,628
Employer contributions (assets) at beginning of year2012-12-31$2,321,010
Income. Dividends from common stock2012-12-31$560,743
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$17,208,169
Contract administrator fees2012-12-31$51,233
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
Aggregate proceeds on sale of assets2012-12-31$3,613,033
Aggregate carrying amount (costs) on sale of assets2012-12-31$3,269,128
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2012-12-31381357951
2011 : OPPENHEIMER & CO. INC. 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-11,064,380
Total unrealized appreciation/depreciation of assets2011-12-31$-11,064,380
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$11,593,241
Total loss/gain on sale of assets2011-12-31$776,123
Total of all expenses incurred2011-12-31$22,948,296
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$22,867,220
Value of total corrective distributions2011-12-31$4,988
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$26,054,093
Value of total assets at end of year2011-12-31$237,091,508
Value of total assets at beginning of year2011-12-31$248,446,563
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$76,088
Total interest from all sources2011-12-31$331,861
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$3,136,603
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$2,636,411
Administrative expenses professional fees incurred2011-12-31$32,500
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$15,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$21,298,572
Participant contributions at end of year2011-12-31$6,198,980
Participant contributions at beginning of year2011-12-31$6,122,991
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$223,731
Assets. Other investments not covered elsewhere at end of year2011-12-31$430,049
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$404,474
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$2,477,592
Total non interest bearing cash at end of year2011-12-31$27,098
Total non interest bearing cash at beginning of year2011-12-31$66,882
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-11,355,055
Value of net assets at end of year (total assets less liabilities)2011-12-31$237,091,508
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$248,446,563
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
Investment advisory and management fees2011-12-31$104
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$177,439,925
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$174,686,019
Interest on participant loans2011-12-31$320,633
Value of interest in common/collective trusts at beginning of year2011-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$30,273,122
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$33,409,519
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$33,409,519
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$11,228
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$13,360
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-7,641,059
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
Assets. Invements in employer securities at end of year2011-12-31$20,401,324
Assets. Invements in employer securities at beginning of year2011-12-31$30,197,432
Contributions received in cash from employer2011-12-31$2,277,929
Employer contributions (assets) at end of year2011-12-31$2,321,010
Employer contributions (assets) at beginning of year2011-12-31$3,335,515
Income. Dividends from common stock2011-12-31$500,192
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$22,853,860
Contract administrator fees2011-12-31$43,484
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$0
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
Aggregate proceeds on sale of assets2011-12-31$7,428,403
Aggregate carrying amount (costs) on sale of assets2011-12-31$6,652,280
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2011-12-31381357951
2010 : OPPENHEIMER & CO. INC. 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$-6,595,315
Total unrealized appreciation/depreciation of assets2010-12-31$-6,595,315
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$1,156
Total income from all sources (including contributions)2010-12-31$42,701,909
Total loss/gain on sale of assets2010-12-31$-960,198
Total of all expenses incurred2010-12-31$16,225,075
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$16,134,425
Value of total corrective distributions2010-12-31$20,222
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$26,882,646
Value of total assets at end of year2010-12-31$248,446,563
Value of total assets at beginning of year2010-12-31$221,970,885
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$70,428
Total interest from all sources2010-12-31$339,345
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$2,632,106
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$2,127,983
Administrative expenses professional fees incurred2010-12-31$30,000
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$15,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$3,149,115
Participant contributions at end of year2010-12-31$6,122,991
Participant contributions at beginning of year2010-12-31$4,718,509
Participant contributions at end of year2010-12-31$223,731
Participant contributions at beginning of year2010-12-31$216,135
Assets. Other investments not covered elsewhere at end of year2010-12-31$404,474
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$415,113
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$2,533,166
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$24,955
Other income not declared elsewhere2010-12-31$239,137
Total non interest bearing cash at end of year2010-12-31$66,882
Total non interest bearing cash at beginning of year2010-12-31$4,833
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$26,476,834
Value of net assets at end of year (total assets less liabilities)2010-12-31$248,446,563
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$221,969,729
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$174,686,019
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$126,616,018
Interest on participant loans2010-12-31$322,965
Value of interest in common/collective trusts at end of year2010-12-31$0
Value of interest in common/collective trusts at beginning of year2010-12-31$18,111,933
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$33,409,519
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$32,847,744
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$32,847,744
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$16,380
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$13,636
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$19,295,889
Net investment gain or loss from common/collective trusts2010-12-31$868,299
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
Assets. Invements in employer securities at end of year2010-12-31$30,197,432
Assets. Invements in employer securities at beginning of year2010-12-31$36,144,124
Contributions received in cash from employer2010-12-31$21,200,365
Employer contributions (assets) at end of year2010-12-31$3,335,515
Employer contributions (assets) at beginning of year2010-12-31$2,871,521
Income. Dividends from common stock2010-12-31$504,123
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$16,120,789
Contract administrator fees2010-12-31$40,428
Liabilities. Value of benefit claims payable at end of year2010-12-31$0
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$1,156
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
Aggregate proceeds on sale of assets2010-12-31$4,184,525
Aggregate carrying amount (costs) on sale of assets2010-12-31$5,144,723
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31PLANTE & MORAN, PLLC
Accountancy firm EIN2010-12-31381357951
2009 : OPPENHEIMER & CO. INC. 401(K) 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 OPPENHEIMER & CO. INC. 401(K) PLAN

2022: OPPENHEIMER & CO. INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: OPPENHEIMER & CO. INC. 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: OPPENHEIMER & CO. INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: OPPENHEIMER & CO. INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: OPPENHEIMER & CO. INC. 401(K) 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: OPPENHEIMER & CO. INC. 401(K) 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: OPPENHEIMER & CO. INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
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: OPPENHEIMER & CO. INC. 401(K) 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: OPPENHEIMER & CO. INC. 401(K) 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: OPPENHEIMER & CO. INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
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: OPPENHEIMER & CO. INC. 401(K) 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: OPPENHEIMER & CO. INC. 401(K) 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: OPPENHEIMER & CO. INC. 401(K) 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

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered3601
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered4
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered6
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered6
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered7
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered8
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered8
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered8
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered10
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered10
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )
Policy contract numberN/A
Policy instance 1
Insurance contract or identification numberN/A
Number of Individuals Covered10
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 $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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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