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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 TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • Stock bonus
  • ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
  • Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

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: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
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: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
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: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
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: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
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: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
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: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
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 : DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
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 : DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
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 : DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
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 : DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
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 : DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
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 : DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
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 : DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
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 for DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2016: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP 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 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: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP 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 – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP 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 – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP 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 – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: DIVERSIFIED BROKERAGE SERVICES, INC. EMPLOYEE STOCK OWNERSHIP 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 – TrustYes
2011-01-01Plan benefit arrangement - TrustYes

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