401k Plan data: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN plan

LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

LAKE STREET CAPITAL MARKETS, LLC has sponsored the creation of one or more 401k plans.

Company Name: LAKE STREET CAPITAL MARKETS, LLC

Employer identification number (EIN): 300735342

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 PAUL MCNAMEE 2023-04-17
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01 PAUL MCNAMEE
001 2017-01-01 PAUL MCNAMEE
001 2016-01-01 JOE SKAR
001 2015-01-01 JOE SKAR
001 2014-01-01 JOE SKAR

Plan Statistics for LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2021: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 40
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 6
Total of all active and inactive participants 2021-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 46
Number of participants with account balances 2021-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 33
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 2
Total of all active and inactive participants 2020-01-01 35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 35
Number of participants with account balances 2020-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 26
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 30
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 4
Total of all active and inactive participants 2019-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 34
Number of participants with account balances 2019-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 25
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 26
Number of participants with account balances 2018-01-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 24
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 1
Total of all active and inactive participants 2017-01-01 25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 25
Number of participants with account balances 2017-01-01 11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 17
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 18
Number of participants with account balances 2016-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 22
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 22
Number of participants with account balances 2015-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 22
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 22
Number of participants with account balances 2014-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2021: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	40
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	6
Total of all active and inactive participants	2021-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	46
Number of participants with account balances	2021-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	33
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	2
Total of all active and inactive participants	2020-01-01	35
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	35
Number of participants with account balances	2020-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	26
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	30
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	4
Total of all active and inactive participants	2019-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	34
Number of participants with account balances	2019-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	25
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	26
Number of participants with account balances	2018-01-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	24
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	1
Total of all active and inactive participants	2017-01-01	25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	25
Number of participants with account balances	2017-01-01	11
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	17
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	18
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	18
Number of participants with account balances	2016-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	22
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	22
Number of participants with account balances	2015-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	22
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	22
Number of participants with account balances	2014-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2021 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total plan liabilities at beginning of year	2021-12-31	$0
Total income from all sources	2021-12-31	$922,863
Expenses. Total of all expenses incurred	2021-12-31	$33,644
Benefits paid (including direct rollovers)	2021-12-31	$33,293
Total plan assets at end of year	2021-12-31	$1,843,219
Total plan assets at beginning of year	2021-12-31	$954,000
Value of fidelity bond covering the plan	2021-12-31	$2,000,000
Total contributions received or receivable from participants	2021-12-31	$530,235
Expenses. Other expenses not covered elsewhere	2021-12-31	$351
Other income received	2021-12-31	$217,059
Net income (gross income less expenses)	2021-12-31	$889,219
Net plan assets at end of year (total assets less liabilities)	2021-12-31	$1,843,219
Net plan assets at beginning of year (total assets less liabilities)	2021-12-31	$954,000
Total contributions received or receivable from employer(s)	2021-12-31	$175,569
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
2020 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total plan liabilities at end of year	2020-12-31	$0
Total plan liabilities at beginning of year	2020-12-31	$0
Total income from all sources	2020-12-31	$408,693
Expenses. Total of all expenses incurred	2020-12-31	$69,371
Benefits paid (including direct rollovers)	2020-12-31	$67,493
Total plan assets at end of year	2020-12-31	$954,000
Total plan assets at beginning of year	2020-12-31	$614,678
Value of fidelity bond covering the plan	2020-12-31	$2,000,000
Total contributions received or receivable from participants	2020-12-31	$269,437
Expenses. Other expenses not covered elsewhere	2020-12-31	$0
Contributions received from other sources (not participants or employers)	2020-12-31	$0
Other income received	2020-12-31	$139,256
Noncash contributions received	2020-12-31	$0
Net income (gross income less expenses)	2020-12-31	$339,322
Net plan assets at end of year (total assets less liabilities)	2020-12-31	$954,000
Net plan assets at beginning of year (total assets less liabilities)	2020-12-31	$614,678
Assets. Value of participant loans	2020-12-31	$41,376
Total contributions received or receivable from employer(s)	2020-12-31	$0
Value of certain deemed distributions of participant loans	2020-12-31	$0
Value of corrective distributions	2020-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-12-31	$1,878
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
2019 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$287,076
Expenses. Total of all expenses incurred	2019-12-31	$6,147
Benefits paid (including direct rollovers)	2019-12-31	$5,831
Total plan assets at end of year	2019-12-31	$614,678
Total plan assets at beginning of year	2019-12-31	$333,749
Value of fidelity bond covering the plan	2019-12-31	$1,000,000
Total contributions received or receivable from participants	2019-12-31	$196,650
Other income received	2019-12-31	$90,426
Net income (gross income less expenses)	2019-12-31	$280,929
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$614,678
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$333,749
Assets. Value of participant loans	2019-12-31	$57,673
Expenses. Administrative service providers (salaries,fees and commissions)	2019-12-31	$316
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$229,050
Expenses. Total of all expenses incurred	2018-12-31	$143
Total plan assets at end of year	2018-12-31	$333,749
Total plan assets at beginning of year	2018-12-31	$104,842
Value of fidelity bond covering the plan	2018-12-31	$1,000,000
Total contributions received or receivable from participants	2018-12-31	$151,682
Contributions received from other sources (not participants or employers)	2018-12-31	$100,000
Other income received	2018-12-31	$-22,632
Net income (gross income less expenses)	2018-12-31	$228,907
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$333,749
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$104,842
Assets. Value of participant loans	2018-12-31	$52,846
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$143
2017 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$48,419
Expenses. Total of all expenses incurred	2017-12-31	$10,078
Benefits paid (including direct rollovers)	2017-12-31	$9,985
Total plan assets at end of year	2017-12-31	$104,842
Total plan assets at beginning of year	2017-12-31	$66,501
Value of fidelity bond covering the plan	2017-12-31	$700,000
Total contributions received or receivable from participants	2017-12-31	$35,022
Other income received	2017-12-31	$13,397
Net income (gross income less expenses)	2017-12-31	$38,341
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$104,842
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$66,501
Assets. Value of participant loans	2017-12-31	$6,180
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$93
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$17,045
Expenses. Total of all expenses incurred	2016-12-31	$115
Total plan assets at end of year	2016-12-31	$66,501
Total plan assets at beginning of year	2016-12-31	$49,571
Value of fidelity bond covering the plan	2016-12-31	$25,000
Total contributions received or receivable from participants	2016-12-31	$10,794
Other income received	2016-12-31	$6,251
Net income (gross income less expenses)	2016-12-31	$16,930
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$66,501
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$49,571
Assets. Value of participant loans	2016-12-31	$7,996
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$115
2015 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$33,198
Expenses. Total of all expenses incurred	2015-12-31	$10
Total plan assets at end of year	2015-12-31	$49,571
Total plan assets at beginning of year	2015-12-31	$16,383
Total contributions received or receivable from participants	2015-12-31	$35,267
Other income received	2015-12-31	$-2,069
Net income (gross income less expenses)	2015-12-31	$33,188
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$49,571
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$16,383
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$10
2014 : LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$16,383
Expenses. Total of all expenses incurred	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$16,383
Total plan assets at beginning of year	2014-12-31	$0
Value of fidelity bond covering the plan	2014-12-31	$250,000
Total contributions received or receivable from participants	2014-12-31	$16,038
Other income received	2014-12-31	$345
Net income (gross income less expenses)	2014-12-31	$16,383
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$16,383
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$0

Form 5500 Responses for LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN

2021: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: LAKE STREET CAPITAL MARKETS, LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	First time form 5500 has been submitted	Yes
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	LAKE STREET CAPITAL MARKETS, LLC
Employer identification number (EIN):	300735342
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	PAUL MCNAMEE	2023-04-17
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01	PAUL MCNAMEE
001	2017-01-01	PAUL MCNAMEE
001	2016-01-01	JOE SKAR
001	2015-01-01	JOE SKAR
001	2014-01-01	JOE SKAR