401k Plan data: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN plan

FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 401k Plan overview

Plan Name	FIRST ALLIED HOLDINGS, INC. 401(K) PLAN
Plan identification number	001

FIRST ALLIED HOLDINGS, INC. 401(K) PLAN Benefits

401k Plan Type

Defined 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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

FIRST ALLIED HOLDINGS, INC. has sponsored the creation of one or more 401k plans.

Company Name: FIRST ALLIED HOLDINGS, INC.

Employer identification number (EIN): 452897319

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST ALLIED HOLDINGS, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 JAMIE TIANO 2017-11-08
001 2016-01-01 JAMIE TIANO
001 2015-01-01 KEVIN KEEFE KEVIN KEEFE 2016-10-11
001 2014-01-01 RHONDA DIXON
001 2013-01-01 RHONDA DIXON RHONDA DIXON 2014-10-06
001 2012-01-01 RHONDA DIXON RHONDA DIXON 2013-10-03
001 2011-11-01 RHONDA DIXON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	JAMIE TIANO	2017-11-08
001	2016-01-01	JAMIE TIANO
001	2015-01-01	KEVIN KEEFE		KEVIN KEEFE	2016-10-11
001	2014-01-01	RHONDA DIXON
001	2013-01-01	RHONDA DIXON		RHONDA DIXON	2014-10-06
001	2012-01-01	RHONDA DIXON		RHONDA DIXON	2013-10-03
001	2011-11-01	RHONDA DIXON

Plan Statistics for FIRST ALLIED HOLDINGS, INC. 401(K) PLAN

401k plan membership statisitcs for FIRST ALLIED HOLDINGS, INC. 401(K) PLAN

Measure Date Value
2016: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 397
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
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 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 492
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 368
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 102
Total of all active and inactive participants 2015-01-01 470
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 470
Number of participants with account balances 2015-01-01 397
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 480
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 411
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 79
Total of all active and inactive participants 2014-01-01 490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 490
Number of participants with account balances 2014-01-01 414
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 328
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 413
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 67
Total of all active and inactive participants 2013-01-01 480
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 480
Number of participants with account balances 2013-01-01 386
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 333
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 269
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 59
Total of all active and inactive participants 2012-01-01 328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 328
Number of participants with account balances 2012-01-01 277
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-11-01 300
Total number of active participants reported on line 7a of the Form 5500 2011-11-01 278
Number of retired or separated participants receiving benefits 2011-11-01 0
Number of other retired or separated participants entitled to future benefits 2011-11-01 55
Total of all active and inactive participants 2011-11-01 333
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-11-01 0
Total participants 2011-11-01 333
Number of participants with account balances 2011-11-01 272
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-11-01 0

Measure	Date	Value
2016: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	397
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
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	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	492
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	368
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	102
Total of all active and inactive participants	2015-01-01	470
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	470
Number of participants with account balances	2015-01-01	397
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	480
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	411
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	79
Total of all active and inactive participants	2014-01-01	490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	490
Number of participants with account balances	2014-01-01	414
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	328
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	413
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	67
Total of all active and inactive participants	2013-01-01	480
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	480
Number of participants with account balances	2013-01-01	386
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	333
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	269
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	59
Total of all active and inactive participants	2012-01-01	328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	328
Number of participants with account balances	2012-01-01	277
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-11-01	300
Total number of active participants reported on line 7a of the Form 5500	2011-11-01	278
Number of retired or separated participants receiving benefits	2011-11-01	0
Number of other retired or separated participants entitled to future benefits	2011-11-01	55
Total of all active and inactive participants	2011-11-01	333
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-11-01	0
Total participants	2011-11-01	333
Number of participants with account balances	2011-11-01	272
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-11-01	0

Financial Data on FIRST ALLIED HOLDINGS, INC. 401(K) PLAN

Measure	Date	Value
2016 : FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$10,483,374
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	$-578,651
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$8,913,564
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$8,875,326
Expenses. Certain deemed distributions of participant loans	2016-12-31	$23,538
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$0
Value of total assets at end of year	2016-12-31	$10,739
Value of total assets at beginning of year	2016-12-31	$19,986,328
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$14,700
Total interest from all sources	2016-12-31	$6,269
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$15,799
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$15,799
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Participant contributions at beginning of year	2016-12-31	$579,656
Other income not declared elsewhere	2016-12-31	$180,025
Administrative expenses (other) incurred	2016-12-31	$14,700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-9,492,215
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$10,739
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$19,986,328
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$12,104,628
Interest on participant loans	2016-12-31	$6,269
Value of interest in common/collective trusts at beginning of year	2016-12-31	$4,407,930
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$10,739
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$2,894,114
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$2,894,114
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$-534,288
Net investment gain or loss from common/collective trusts	2016-12-31	$-246,456
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$8,875,326
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	BDO USA, LLP
Accountancy firm EIN	2016-12-31	135381590
2015 : FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$0
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	$3,486,262
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$3,668,729
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$3,632,050
Expenses. Certain deemed distributions of participant loans	2015-12-31	$13,614
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$3,780,956
Value of total assets at end of year	2015-12-31	$19,986,328
Value of total assets at beginning of year	2015-12-31	$20,168,795
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$23,065
Total interest from all sources	2015-12-31	$25,690
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,082,418
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2015-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,082,418
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$2,642,814
Participant contributions at end of year	2015-12-31	$579,656
Participant contributions at beginning of year	2015-12-31	$601,254
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$293,261
Other income not declared elsewhere	2015-12-31	$24,193
Administrative expenses (other) incurred	2015-12-31	$23,065
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-182,467
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$19,986,328
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$20,168,795
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$12,104,628
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$13,488,256
Interest on participant loans	2015-12-31	$25,690
Value of interest in common/collective trusts at end of year	2015-12-31	$4,407,930
Value of interest in common/collective trusts at beginning of year	2015-12-31	$3,980,338
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$2,894,114
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$2,098,947
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$2,098,947
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,353,002
Net investment gain or loss from common/collective trusts	2015-12-31	$-73,993
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$844,881
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$3,632,050
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BDO USA, LLP
Accountancy firm EIN	2015-12-31	135381590
2014 : FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$0
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	$4,248,662
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$812,478
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$784,891
Expenses. Certain deemed distributions of participant loans	2014-12-31	$10,804
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$3,239,883
Value of total assets at end of year	2014-12-31	$20,168,795
Value of total assets at beginning of year	2014-12-31	$16,732,611
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$16,783
Total interest from all sources	2014-12-31	$24,890
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,129,820
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,129,820
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$2,334,955
Participant contributions at end of year	2014-12-31	$601,254
Participant contributions at beginning of year	2014-12-31	$514,067
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$180,714
Other income not declared elsewhere	2014-12-31	$5,722
Administrative expenses (other) incurred	2014-12-31	$16,783
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$3,436,184
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$20,168,795
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$16,732,611
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$13,488,256
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$11,283,145
Interest on participant loans	2014-12-31	$24,890
Value of interest in common/collective trusts at end of year	2014-12-31	$3,980,338
Value of interest in common/collective trusts at beginning of year	2014-12-31	$3,302,723
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$2,098,947
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$1,632,676
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$1,632,676
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-507,711
Net investment gain or loss from common/collective trusts	2014-12-31	$356,058
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$724,214
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$784,891
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BDO USA, LLP
Accountancy firm EIN	2014-12-31	135381590
2013 : FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
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	$5,902,896
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,386,643
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,368,176
Expenses. Certain deemed distributions of participant loans	2013-12-31	$8,483
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$3,259,492
Value of total assets at end of year	2013-12-31	$16,732,611
Value of total assets at beginning of year	2013-12-31	$12,216,358
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$9,984
Total interest from all sources	2013-12-31	$23,228
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$740,489
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$740,489
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$2,080,770
Participant contributions at end of year	2013-12-31	$514,067
Participant contributions at beginning of year	2013-12-31	$533,791
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$518,874
Administrative expenses (other) incurred	2013-12-31	$9,984
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$4,516,253
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$16,732,611
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,216,358
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$11,283,145
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$7,919,823
Interest on participant loans	2013-12-31	$23,228
Value of interest in common/collective trusts at end of year	2013-12-31	$3,302,723
Value of interest in common/collective trusts at beginning of year	2013-12-31	$1,968,816
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$1,632,676
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$1,793,928
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$1,793,928
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,111,427
Net investment gain or loss from common/collective trusts	2013-12-31	$768,260
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$659,848
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,368,176
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	BDO USA, LLP
Accountancy firm EIN	2013-12-31	135381590
2012 : FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,178,803
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$932,961
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$913,772
Expenses. Certain deemed distributions of participant loans	2012-12-31	$7,746
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,054,617
Value of total assets at end of year	2012-12-31	$12,216,358
Value of total assets at beginning of year	2012-12-31	$9,970,516
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$11,443
Total interest from all sources	2012-12-31	$24,925
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$381,543
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$381,543
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,471,394
Participant contributions at end of year	2012-12-31	$533,791
Participant contributions at beginning of year	2012-12-31	$447,448
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$109,078
Administrative expenses (other) incurred	2012-12-31	$11,443
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,245,842
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,216,358
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$9,970,516
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$7,919,823
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$6,165,131
Interest on participant loans	2012-12-31	$24,925
Value of interest in common/collective trusts at end of year	2012-12-31	$1,968,816
Value of interest in common/collective trusts at beginning of year	2012-12-31	$1,686,580
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$1,793,928
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$1,671,357
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$1,671,357
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$443,083
Net investment gain or loss from common/collective trusts	2012-12-31	$274,635
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$474,145
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$913,772
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	BDO USA, LLP
Accountancy firm EIN	2012-12-31	135381590
2011 : FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$9,766,256
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	$298,385
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$94,125
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$84,381
Expenses. Certain deemed distributions of participant loans	2011-12-31	$8,269
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$278,044
Value of total assets at end of year	2011-12-31	$9,970,516
Value of total assets at beginning of year	2011-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,475
Total interest from all sources	2011-12-31	$3,736
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$170,172
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$170,172
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$208,636
Participant contributions at end of year	2011-12-31	$447,448
Administrative expenses (other) incurred	2011-12-31	$1,475
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$204,260
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$9,970,516
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$6,165,131
Interest on participant loans	2011-12-31	$3,736
Value of interest in common/collective trusts at end of year	2011-12-31	$1,686,580
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$1,671,357
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-177,986
Net investment gain or loss from common/collective trusts	2011-12-31	$24,419
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$69,408
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$84,381
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	BDO USA, LLP
Accountancy firm EIN	2011-12-31	135381590

Form 5500 Responses for FIRST ALLIED HOLDINGS, INC. 401(K) PLAN

2016: FIRST ALLIED HOLDINGS, INC. 401(K) 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: FIRST ALLIED HOLDINGS, INC. 401(K) 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: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
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
2013: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: FIRST ALLIED HOLDINGS, INC. 401(K) PLAN 2011 form 5500 responses
2011-11-01	Type of plan entity	Single employer plan
2011-11-01	First time form 5500 has been submitted	Yes
2011-11-01	Submission has been amended	No
2011-11-01	This submission is the final filing	No
2011-11-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2011-11-01	Plan is a collectively bargained plan	No
2011-11-01	Plan funding arrangement – Trust	Yes
2011-11-01	Plan benefit arrangement - Trust	Yes

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Company Name:	FIRST ALLIED HOLDINGS, INC.
Employer identification number (EIN):	452897319
NAIC Classification:	523120
NAIC Description:	Securities Brokerage