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DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan NameDIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number 003

DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type
Plan Features/Benefits

    401k Sponsoring company profile

    DIVERSIFIED BROKERAGE SERVICES, INC has sponsored the creation of one or more 401k plans.

    Company Name:DIVERSIFIED BROKERAGE SERVICES, INC
    Employer identification number (EIN):411360535
    NAIC Classification:524210
    NAIC Description:Insurance Agencies and Brokerages

    Additional information about DIVERSIFIED BROKERAGE SERVICES, INC

    Jurisdiction of Incorporation: Georgia Department of States Corporations Division
    Incorporation Date:
    Company Identification Number: 562804

    More information about DIVERSIFIED BROKERAGE SERVICES, INC

    Form 5500 Filing Information

    Submission information for form 5500 for 401k plan DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

    Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
    0032016-01-01VICTORIA L. ROOS VICTORIA L. ROOS2017-02-06
    0032015-01-01VICTORIA L. ROOS VICTORIA L. ROOS2016-07-01
    0032014-01-01VICTORIA L. ROOS VICTORIA L. ROOS2015-08-04
    0032013-01-01VICTORIA L. ROOS VICTORIA L. ROOS2014-06-11
    0032012-01-01VICTORIA L. ROOS VICTORIA L. ROOS2013-05-21
    0032011-01-01VICTORIA ROOS VICTORIA ROOS2012-09-20

    Plan Statistics for DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

    401k plan membership statisitcs for DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

    Measure Date Value
    2016
    Total participants, beginning-of-year2016-01-0150
    Total number of active participants reported on line 7a of the Form 55002016-01-010
    Total of all active and inactive participants2016-01-010
    Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
    Total participants2016-01-010
    Number of participants with account balances2016-01-010
    Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
    2015
    Total participants, beginning-of-year2015-01-0153
    Total number of active participants reported on line 7a of the Form 55002015-01-0144
    Number of retired or separated participants receiving benefits2015-01-010
    Number of other retired or separated participants entitled to future benefits2015-01-016
    Total of all active and inactive participants2015-01-0150
    Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
    Total participants2015-01-0150
    Number of participants with account balances2015-01-0150
    Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-014
    2014
    Total participants, beginning-of-year2014-01-0147
    Total number of active participants reported on line 7a of the Form 55002014-01-0144
    Number of retired or separated participants receiving benefits2014-01-010
    Number of other retired or separated participants entitled to future benefits2014-01-015
    Total of all active and inactive participants2014-01-0149
    Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
    Total participants2014-01-0149
    Number of participants with account balances2014-01-0149
    Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-013
    2013
    Total participants, beginning-of-year2013-01-0148
    Total number of active participants reported on line 7a of the Form 55002013-01-0145
    Number of retired or separated participants receiving benefits2013-01-011
    Number of other retired or separated participants entitled to future benefits2013-01-011
    Total of all active and inactive participants2013-01-0147
    Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
    Total participants2013-01-0147
    Number of participants with account balances2013-01-0147
    Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-011
    2012
    Total participants, beginning-of-year2012-01-0144
    Total number of active participants reported on line 7a of the Form 55002012-01-0142
    Number of retired or separated participants receiving benefits2012-01-010
    Number of other retired or separated participants entitled to future benefits2012-01-011
    Total of all active and inactive participants2012-01-0143
    Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
    Total participants2012-01-0144
    Number of participants with account balances2012-01-0144
    Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
    2011
    Total participants, beginning-of-year2011-01-0142
    Total number of active participants reported on line 7a of the Form 55002011-01-0137
    Number of retired or separated participants receiving benefits2011-01-011
    Number of other retired or separated participants entitled to future benefits2011-01-014
    Total of all active and inactive participants2011-01-0142
    Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
    Total participants2011-01-0142
    Number of participants with account balances2011-01-0142
    Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010

    Financial Data on DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

    Measure Date Value
    2016
    Total plan liabilities at end of year2016-12-31$0
    Total plan liabilities at beginning of year2016-12-31$250,000
    Total income from all sources2016-12-31$240,048
    Expenses. Total of all expenses incurred2016-12-31$2,973,004
    Benefits paid (including direct rollovers)2016-12-31$2,968,918
    Total plan assets at end of year2016-12-31$0
    Total plan assets at beginning of year2016-12-31$2,982,956
    Value of fidelity bond covering the plan2016-12-31$500,000
    Expenses. Other expenses not covered elsewhere2016-12-31$3,906
    Other income received2016-12-31$240,048
    Net income (gross income less expenses)2016-12-31$-2,732,956
    Net plan assets at end of year (total assets less liabilities)2016-12-31$0
    Net plan assets at beginning of year (total assets less liabilities)2016-12-31$2,732,956
    Assets. Value of employer securities2016-12-31$0
    Total contributions received or receivable from employer(s)2016-12-31$0
    Expenses. Administrative service providers (salaries,fees and commissions)2016-12-31$180
    Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
    2015
    Total plan liabilities at end of year2015-12-31$250,000
    Total plan liabilities at beginning of year2015-12-31$300,000
    Total income from all sources2015-12-31$162,908
    Expenses. Total of all expenses incurred2015-12-31$22,827
    Benefits paid (including direct rollovers)2015-12-31$30,184
    Total plan assets at end of year2015-12-31$2,982,956
    Total plan assets at beginning of year2015-12-31$2,892,875
    Value of fidelity bond covering the plan2015-12-31$500,000
    Expenses. Other expenses not covered elsewhere2015-12-31$1,533
    Other income received2015-12-31$103,593
    Net income (gross income less expenses)2015-12-31$140,081
    Net plan assets at end of year (total assets less liabilities)2015-12-31$2,732,956
    Net plan assets at beginning of year (total assets less liabilities)2015-12-31$2,592,875
    Assets. Value of employer securities2015-12-31$2,700,000
    Total contributions received or receivable from employer(s)2015-12-31$59,315
    Value of corrective distributions2015-12-31$-8,890
    Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
    2014
    Total plan liabilities at end of year2014-12-31$300,000
    Total plan liabilities at beginning of year2014-12-31$350,000
    Total income from all sources2014-12-31$-81,827
    Expenses. Total of all expenses incurred2014-12-31$175,393
    Benefits paid (including direct rollovers)2014-12-31$173,673
    Total plan assets at end of year2014-12-31$2,892,875
    Total plan assets at beginning of year2014-12-31$3,200,095
    Value of fidelity bond covering the plan2014-12-31$500,000
    Expenses. Other expenses not covered elsewhere2014-12-31$1,720
    Other income received2014-12-31$-141,761
    Net income (gross income less expenses)2014-12-31$-257,220
    Net plan assets at end of year (total assets less liabilities)2014-12-31$2,592,875
    Net plan assets at beginning of year (total assets less liabilities)2014-12-31$2,850,095
    Assets. Value of employer securities2014-12-31$2,610,000
    Total contributions received or receivable from employer(s)2014-12-31$59,934
    Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
    2013
    Total plan liabilities at end of year2013-12-31$350,000
    Total income from all sources2013-12-31$46,954
    Expenses. Total of all expenses incurred2013-12-31$1,002,369
    Benefits paid (including direct rollovers)2013-12-31$998,039
    Total plan assets at end of year2013-12-31$3,200,095
    Total plan assets at beginning of year2013-12-31$3,805,510
    Value of fidelity bond covering the plan2013-12-31$500,000
    Expenses. Other expenses not covered elsewhere2013-12-31$4,330
    Other income received2013-12-31$-7,602
    Net income (gross income less expenses)2013-12-31$-955,415
    Net plan assets at end of year (total assets less liabilities)2013-12-31$2,850,095
    Net plan assets at beginning of year (total assets less liabilities)2013-12-31$3,805,510
    Assets. Value of employer securities2013-12-31$2,790,000
    Total contributions received or receivable from employer(s)2013-12-31$54,556
    Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
    2012
    Total income from all sources2012-12-31$182,112
    Expenses. Total of all expenses incurred2012-12-31$52,583
    Benefits paid (including direct rollovers)2012-12-31$47,704
    Total plan assets at end of year2012-12-31$3,805,510
    Total plan assets at beginning of year2012-12-31$3,675,981
    Value of fidelity bond covering the plan2012-12-31$500,000
    Expenses. Other expenses not covered elsewhere2012-12-31$4,879
    Other income received2012-12-31$80,605
    Net income (gross income less expenses)2012-12-31$129,529
    Net plan assets at end of year (total assets less liabilities)2012-12-31$3,805,510
    Net plan assets at beginning of year (total assets less liabilities)2012-12-31$3,675,981
    Assets. Value of employer securities2012-12-31$2,880,000
    Total contributions received or receivable from employer(s)2012-12-31$101,507
    Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
    2011
    Total income from all sources2011-12-31$386,058
    Expenses. Total of all expenses incurred2011-12-31$49,296
    Benefits paid (including direct rollovers)2011-12-31$46,622
    Total plan assets at end of year2011-12-31$3,675,981
    Total plan assets at beginning of year2011-12-31$3,339,219
    Value of fidelity bond covering the plan2011-12-31$150,000
    Expenses. Other expenses not covered elsewhere2011-12-31$2,674
    Other income received2011-12-31$194,373
    Net income (gross income less expenses)2011-12-31$336,762
    Net plan assets at end of year (total assets less liabilities)2011-12-31$3,675,981
    Net plan assets at beginning of year (total assets less liabilities)2011-12-31$3,339,219
    Assets. Value of employer securities2011-12-31$2,850,300
    Total contributions received or receivable from employer(s)2011-12-31$191,685
    Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
    2010
    Total income from all sources2010-12-31$415,052
    Expenses. Total of all expenses incurred2010-12-31$130,523
    Benefits paid (including direct rollovers)2010-12-31$128,516
    Total plan assets at end of year2010-12-31$3,339,219
    Total plan assets at beginning of year2010-12-31$3,054,690
    Value of fidelity bond covering the plan2010-12-31$150,000
    Other income received2010-12-31$229,807
    Net income (gross income less expenses)2010-12-31$284,529
    Net plan assets at end of year (total assets less liabilities)2010-12-31$3,339,219
    Net plan assets at beginning of year (total assets less liabilities)2010-12-31$3,054,690
    Assets. Value of employer securities2010-12-31$2,729,700
    Total contributions received or receivable from employer(s)2010-12-31$185,245
    Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$2,007

    Form 5500 Responses

    2016
    2016-01-01Type of plan entitySingle employer plan
    2016-01-01Submission has been amendedNo
    2016-01-01This submission is the final filingYes
    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 – TrustYes
    2016-01-01Plan benefit arrangement - TrustYes
    2015
    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 – TrustYes
    2015-01-01Plan benefit arrangement - TrustYes
    2014
    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 – TrustYes
    2014-01-01Plan benefit arrangement - TrustYes
    2013
    2013-01-01Type of plan entitySingle employer plan
    2013-01-01Submission has been amendedNo
    2013-01-01This submission is the final filingNo
    2013-01-01This return/report is a short plan year return/report (less than 12 months)No
    2013-01-01Plan is a collectively bargained planNo
    2013-01-01Plan funding arrangement – TrustYes
    2013-01-01Plan benefit arrangement - TrustYes
    2012
    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 – TrustYes
    2012-01-01Plan benefit arrangement - TrustYes
    2011
    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 – TrustYes
    2011-01-01Plan benefit arrangement - TrustYes

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