SECURITIES AMERICA FINANCIAL CORPOR ATION has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN
| Measure | Date | Value |
|---|
| 2019 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2019 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2019-01-02 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2019-01-02 | $0 |
| Total unrealized appreciation/depreciation of assets | 2019-01-02 | $0 |
| Total transfer of assets to this plan | 2019-01-02 | $0 |
| Total transfer of assets from this plan | 2019-01-02 | $44,694,134 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-01-02 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-01-02 | $0 |
| Expenses. Interest paid | 2019-01-02 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2019-01-02 | $0 |
| Total income from all sources (including contributions) | 2019-01-02 | $-40,925 |
| Total loss/gain on sale of assets | 2019-01-02 | $0 |
| Total of all expenses incurred | 2019-01-02 | $0 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-01-02 | $0 |
| Expenses. Certain deemed distributions of participant loans | 2019-01-02 | $0 |
| Value of total corrective distributions | 2019-01-02 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-01-02 | $0 |
| Value of total assets at end of year | 2019-01-02 | $0 |
| Value of total assets at beginning of year | 2019-01-02 | $44,735,059 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-01-02 | $0 |
| Total income from rents | 2019-01-02 | $0 |
| Total interest from all sources | 2019-01-02 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-01-02 | $922 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-01-02 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-01-02 | $922 |
| Assets. Real estate other than employer real property at end of year | 2019-01-02 | $0 |
| Assets. Real estate other than employer real property at beginning of year | 2019-01-02 | $0 |
| Administrative expenses professional fees incurred | 2019-01-02 | $0 |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2019-01-02 | $0 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2019-01-02 | $0 |
| Was this plan covered by a fidelity bond | 2019-01-02 | Yes |
| Value of fidelity bond cover | 2019-01-02 | $5,000,000 |
| If this is an individual account plan, was there a blackout period | 2019-01-02 | Yes |
| Were there any nonexempt tranactions with any party-in-interest | 2019-01-02 | No |
| Contributions received from participants | 2019-01-02 | $0 |
| Participant contributions at end of year | 2019-01-02 | $0 |
| Participant contributions at beginning of year | 2019-01-02 | $765,607 |
| Participant contributions at end of year | 2019-01-02 | $0 |
| Participant contributions at beginning of year | 2019-01-02 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2019-01-02 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2019-01-02 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2019-01-02 | $0 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2019-01-02 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2019-01-02 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2019-01-02 | $0 |
| Assets. Loans (other than to participants) at end of year | 2019-01-02 | $0 |
| Assets. Loans (other than to participants) at beginning of year | 2019-01-02 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2019-01-02 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2019-01-02 | $0 |
| Other income not declared elsewhere | 2019-01-02 | $0 |
| Administrative expenses (other) incurred | 2019-01-02 | $0 |
| Liabilities. Value of operating payables at end of year | 2019-01-02 | $0 |
| Liabilities. Value of operating payables at beginning of year | 2019-01-02 | $0 |
| Total non interest bearing cash at end of year | 2019-01-02 | $0 |
| Total non interest bearing cash at beginning of year | 2019-01-02 | $6,901 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-01-02 | No |
| Income. Non cash contributions | 2019-01-02 | $0 |
| Value of net income/loss | 2019-01-02 | $-40,925 |
| Value of net assets at end of year (total assets less liabilities) | 2019-01-02 | $0 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-01-02 | $44,735,059 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-01-02 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-01-02 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-01-02 | No |
| Assets. partnership/joint venture interests at end of year | 2019-01-02 | $0 |
| Assets. partnership/joint venture interests at beginning of year | 2019-01-02 | $0 |
| Investment advisory and management fees | 2019-01-02 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-01-02 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-01-02 | $40,874,421 |
| Value of interest in pooled separate accounts at end of year | 2019-01-02 | $0 |
| Value of interest in pooled separate accounts at beginning of year | 2019-01-02 | $0 |
| Interest on participant loans | 2019-01-02 | $0 |
| Income. Interest from loans (other than to participants) | 2019-01-02 | $0 |
| Interest earned on other investments | 2019-01-02 | $0 |
| Income. Interest from US Government securities | 2019-01-02 | $0 |
| Income. Interest from corporate debt instruments | 2019-01-02 | $0 |
| Value of interest in master investment trust accounts at end of year | 2019-01-02 | $0 |
| Value of interest in master investment trust accounts at beginning of year | 2019-01-02 | $0 |
| Value of interest in common/collective trusts at end of year | 2019-01-02 | $0 |
| Value of interest in common/collective trusts at beginning of year | 2019-01-02 | $45,203 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2019-01-02 | $0 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2019-01-02 | $1,956,297 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2019-01-02 | $1,956,297 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2019-01-02 | $0 |
| Assets. Value of investments in 103.12 investment entities at end of year | 2019-01-02 | $0 |
| Assets. Value of investments in 103.12 investment entities at beginning of year | 2019-01-02 | $0 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2019-01-02 | $0 |
| Asset value of US Government securities at end of year | 2019-01-02 | $0 |
| Asset value of US Government securities at beginning of year | 2019-01-02 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-01-02 | $-41,847 |
| Net investment gain/loss from pooled separate accounts | 2019-01-02 | $0 |
| Net investment gain or loss from common/collective trusts | 2019-01-02 | $0 |
| Net gain/loss from 103.12 investment entities | 2019-01-02 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-01-02 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-01-02 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-01-02 | No |
| Assets. Invements in employer securities at end of year | 2019-01-02 | $0 |
| Assets. Invements in employer securities at beginning of year | 2019-01-02 | $0 |
| Assets. Value of employer real property at end of year | 2019-01-02 | $0 |
| Assets. Value of employer real property at beginning of year | 2019-01-02 | $0 |
| Contributions received in cash from employer | 2019-01-02 | $0 |
| Employer contributions (assets) at end of year | 2019-01-02 | $0 |
| Employer contributions (assets) at beginning of year | 2019-01-02 | $436,271 |
| Income. Dividends from preferred stock | 2019-01-02 | $0 |
| Income. Dividends from common stock | 2019-01-02 | $0 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-01-02 | $0 |
| Asset. Corporate debt instrument preferred debt at end of year | 2019-01-02 | $0 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2019-01-02 | $0 |
| Asset. Corporate debt instrument debt (other) at end of year | 2019-01-02 | $0 |
| Asset. Corporate debt instrument debt (other) at beginning of year | 2019-01-02 | $1,151 |
| Contract administrator fees | 2019-01-02 | $0 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2019-01-02 | Yes |
| Assets. Corporate common stocks other than exployer securities at end of year | 2019-01-02 | $0 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2019-01-02 | $649,208 |
| Liabilities. Value of benefit claims payable at end of year | 2019-01-02 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2019-01-02 | $0 |
| Assets. Value of buildings and other operty used in plan operation at end of year | 2019-01-02 | $0 |
| Assets. Value of buildings and other operty used in plan operation at beginning of year | 2019-01-02 | $0 |
| Did the plan have assets held for investment | 2019-01-02 | No |
| 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 | 2019-01-02 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-01-02 | Yes |
| Aggregate proceeds on sale of assets | 2019-01-02 | $0 |
| Aggregate carrying amount (costs) on sale of assets | 2019-01-02 | $0 |
| Liabilities. Value of acquisition indebtedness at end of year | 2019-01-02 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2019-01-02 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-01-02 | No |
| Opinion of an independent qualified public accountant for this plan | 2019-01-02 | Disclaimer |
| Accountancy firm name | 2019-01-02 | LUTZ & COMPANY, PC |
| Accountancy firm EIN | 2019-01-02 | 470625816 |
| 2018 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2018 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2018-12-31 | $0 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2018-12-31 | $150,560 |
| Total unrealized appreciation/depreciation of assets | 2018-12-31 | $150,560 |
| Total transfer of assets to this plan | 2018-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
| Expenses. Interest paid | 2018-12-31 | $0 |
| Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102 | 2018-12-31 | $0 |
| Total income from all sources (including contributions) | 2018-12-31 | $3,240,298 |
| Total loss/gain on sale of assets | 2018-12-31 | $-24,489 |
| Total of all expenses incurred | 2018-12-31 | $3,067,617 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $3,038,073 |
| Expenses. Certain deemed distributions of participant loans | 2018-12-31 | $3,109 |
| Value of total corrective distributions | 2018-12-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $6,667,373 |
| Value of total assets at end of year | 2018-12-31 | $44,735,059 |
| Value of total assets at beginning of year | 2018-12-31 | $44,562,378 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $26,435 |
| Total income from rents | 2018-12-31 | $0 |
| Total interest from all sources | 2018-12-31 | $58,504 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $1,752,188 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2018-12-31 | $1,748,785 |
| Assets. Real estate other than employer real property at end of year | 2018-12-31 | $0 |
| Assets. Real estate other than employer real property at beginning of year | 2018-12-31 | $0 |
| Administrative expenses professional fees incurred | 2018-12-31 | $0 |
| Assets. Corporate prefeered stocks other than exployer securities at end of year | 2018-12-31 | $0 |
| Assets. Corporate prefeered stocks other than exployer securities at beginning of year | 2018-12-31 | $0 |
| Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
| Value of fidelity bond cover | 2018-12-31 | $5,000,000 |
| If this is an individual account plan, was there a blackout period | 2018-12-31 | Yes |
| Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
| Contributions received from participants | 2018-12-31 | $3,967,584 |
| Participant contributions at end of year | 2018-12-31 | $765,607 |
| Participant contributions at beginning of year | 2018-12-31 | $744,018 |
| Participant contributions at end of year | 2018-12-31 | $0 |
| Participant contributions at beginning of year | 2018-12-31 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2018-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2018-12-31 | $6,566,069 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2018-12-31 | $1,049,633 |
| Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries) | 2018-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2018-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2018-12-31 | $0 |
| Assets. Loans (other than to participants) at end of year | 2018-12-31 | $0 |
| Assets. Loans (other than to participants) at beginning of year | 2018-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2018-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2018-12-31 | $0 |
| Other income not declared elsewhere | 2018-12-31 | $-136,194 |
| Administrative expenses (other) incurred | 2018-12-31 | $26,435 |
| Liabilities. Value of operating payables at end of year | 2018-12-31 | $0 |
| Liabilities. Value of operating payables at beginning of year | 2018-12-31 | $0 |
| Total non interest bearing cash at end of year | 2018-12-31 | $6,901 |
| Total non interest bearing cash at beginning of year | 2018-12-31 | $9,103 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
| Income. Non cash contributions | 2018-12-31 | $0 |
| Value of net income/loss | 2018-12-31 | $172,681 |
| Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $44,735,059 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $44,562,378 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2018-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
| Assets. partnership/joint venture interests at end of year | 2018-12-31 | $0 |
| Assets. partnership/joint venture interests at beginning of year | 2018-12-31 | $0 |
| Investment advisory and management fees | 2018-12-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-12-31 | $40,874,421 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $36,862,768 |
| Value of interest in pooled separate accounts at end of year | 2018-12-31 | $0 |
| Value of interest in pooled separate accounts at beginning of year | 2018-12-31 | $0 |
| Interest on participant loans | 2018-12-31 | $41,045 |
| Income. Interest from loans (other than to participants) | 2018-12-31 | $0 |
| Interest earned on other investments | 2018-12-31 | $0 |
| Income. Interest from US Government securities | 2018-12-31 | $0 |
| Income. Interest from corporate debt instruments | 2018-12-31 | $34 |
| Value of interest in master investment trust accounts at end of year | 2018-12-31 | $0 |
| Value of interest in master investment trust accounts at beginning of year | 2018-12-31 | $0 |
| Value of interest in common/collective trusts at end of year | 2018-12-31 | $45,203 |
| Value of interest in common/collective trusts at beginning of year | 2018-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2018-12-31 | $1,956,297 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2018-12-31 | $0 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2018-12-31 | $0 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2018-12-31 | $17,425 |
| Assets. Value of investments in 103.12 investment entities at end of year | 2018-12-31 | $0 |
| Assets. Value of investments in 103.12 investment entities at beginning of year | 2018-12-31 | $0 |
| Expenses. Payments to insurance carriers foe the provision of benefits | 2018-12-31 | $0 |
| Asset value of US Government securities at end of year | 2018-12-31 | $0 |
| Asset value of US Government securities at beginning of year | 2018-12-31 | $0 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-5,249,153 |
| Net investment gain/loss from pooled separate accounts | 2018-12-31 | $0 |
| Net investment gain or loss from common/collective trusts | 2018-12-31 | $21,509 |
| Net gain/loss from 103.12 investment entities | 2018-12-31 | $0 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2018-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2018-12-31 | No |
| Assets. Invements in employer securities at end of year | 2018-12-31 | $0 |
| Assets. Invements in employer securities at beginning of year | 2018-12-31 | $0 |
| Assets. Value of employer real property at end of year | 2018-12-31 | $0 |
| Assets. Value of employer real property at beginning of year | 2018-12-31 | $0 |
| Contributions received in cash from employer | 2018-12-31 | $1,650,156 |
| Employer contributions (assets) at end of year | 2018-12-31 | $436,271 |
| Employer contributions (assets) at beginning of year | 2018-12-31 | $380,420 |
| Income. Dividends from preferred stock | 2018-12-31 | $0 |
| Income. Dividends from common stock | 2018-12-31 | $3,403 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $3,038,073 |
| Asset. Corporate debt instrument preferred debt at end of year | 2018-12-31 | $0 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2018-12-31 | $0 |
| Asset. Corporate debt instrument debt (other) at end of year | 2018-12-31 | $1,151 |
| Asset. Corporate debt instrument debt (other) at beginning of year | 2018-12-31 | $0 |
| Contract administrator fees | 2018-12-31 | $0 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2018-12-31 | Yes |
| Assets. Corporate common stocks other than exployer securities at end of year | 2018-12-31 | $649,208 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2018-12-31 | $0 |
| Liabilities. Value of benefit claims payable at end of year | 2018-12-31 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2018-12-31 | $0 |
| Assets. Value of buildings and other operty used in plan operation at end of year | 2018-12-31 | $0 |
| Assets. Value of buildings and other operty used in plan operation at beginning of year | 2018-12-31 | $0 |
| Did the plan have assets held for investment | 2018-12-31 | 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 | 2018-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-12-31 | No |
| Aggregate proceeds on sale of assets | 2018-12-31 | $171,803 |
| Aggregate carrying amount (costs) on sale of assets | 2018-12-31 | $196,292 |
| Liabilities. Value of acquisition indebtedness at end of year | 2018-12-31 | $0 |
| Liabilities. Value of acquisition indebtedness at beginning of year | 2018-12-31 | $0 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2018-12-31 | Disclaimer |
| Accountancy firm name | 2018-12-31 | LUTZ & COMPANY, PC |
| Accountancy firm EIN | 2018-12-31 | 470625816 |
| 2017 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2017 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2017-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $0 |
| Total income from all sources (including contributions) | 2017-12-31 | $11,697,388 |
| Total loss/gain on sale of assets | 2017-12-31 | $0 |
| Total of all expenses incurred | 2017-12-31 | $2,690,865 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $2,623,524 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $5,286,747 |
| Value of total assets at end of year | 2017-12-31 | $44,562,378 |
| Value of total assets at beginning of year | 2017-12-31 | $35,555,855 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $67,341 |
| Total interest from all sources | 2017-12-31 | $29,377 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $2,000,710 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2017-12-31 | $2,000,710 |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $5,000,000 |
| If this is an individual account plan, was there a blackout period | 2017-12-31 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2017-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
| Contributions received from participants | 2017-12-31 | $3,254,909 |
| Participant contributions at end of year | 2017-12-31 | $744,018 |
| Participant contributions at beginning of year | 2017-12-31 | $467,779 |
| Assets. Other investments not covered elsewhere at end of year | 2017-12-31 | $6,566,069 |
| Assets. Other investments not covered elsewhere at beginning of year | 2017-12-31 | $4,046,762 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2017-12-31 | $961,916 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2017-12-31 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2017-12-31 | $9,074 |
| Other income not declared elsewhere | 2017-12-31 | $678,474 |
| Total non interest bearing cash at end of year | 2017-12-31 | $9,103 |
| Total non interest bearing cash at beginning of year | 2017-12-31 | $203,059 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Value of net income/loss | 2017-12-31 | $9,006,523 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $44,562,378 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $35,555,855 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-12-31 | No |
| Investment advisory and management fees | 2017-12-31 | $34,071 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-12-31 | $36,862,768 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $30,449,225 |
| Interest on participant loans | 2017-12-31 | $29,377 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $3,702,080 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-12-31 | No |
| Contributions received in cash from employer | 2017-12-31 | $1,069,922 |
| Employer contributions (assets) at end of year | 2017-12-31 | $380,420 |
| Employer contributions (assets) at beginning of year | 2017-12-31 | $379,956 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $2,623,524 |
| Contract administrator fees | 2017-12-31 | $33,270 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2017-12-31 | Yes |
| Did the plan have assets held for investment | 2017-12-31 | 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 | 2017-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2017-12-31 | Unqualified |
| Accountancy firm name | 2017-12-31 | LUTZ & COMPANY, PC |
| Accountancy firm EIN | 2017-12-31 | 470625816 |
| 2016 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2016 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2016-12-31 | $0 |
| 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 | $122,721 |
| Total income from all sources (including contributions) | 2016-12-31 | $6,948,821 |
| Total loss/gain on sale of assets | 2016-12-31 | $0 |
| Total of all expenses incurred | 2016-12-31 | $2,052,164 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $1,998,911 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $4,090,876 |
| Value of total assets at end of year | 2016-12-31 | $35,555,855 |
| Value of total assets at beginning of year | 2016-12-31 | $30,781,919 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $53,253 |
| Total interest from all sources | 2016-12-31 | $19,783 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $1,185,145 |
| 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 | $1,185,145 |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $5,000,000 |
| 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 |
| Contributions received from participants | 2016-12-31 | $2,657,845 |
| Participant contributions at end of year | 2016-12-31 | $467,779 |
| Participant contributions at beginning of year | 2016-12-31 | $444,172 |
| Participant contributions at end of year | 2016-12-31 | $0 |
| Participant contributions at beginning of year | 2016-12-31 | $61,373 |
| Assets. Other investments not covered elsewhere at end of year | 2016-12-31 | $4,046,762 |
| Assets. Other investments not covered elsewhere at beginning of year | 2016-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-12-31 | $500,831 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2016-12-31 | $9,074 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2016-12-31 | $109,608 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2016-12-31 | $0 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2016-12-31 | $122,721 |
| Total non interest bearing cash at end of year | 2016-12-31 | $203,059 |
| Total non interest bearing cash at beginning of year | 2016-12-31 | $21,510 |
| 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 | $4,896,657 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $35,555,855 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $30,659,198 |
| 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 |
| Investment advisory and management fees | 2016-12-31 | $24,711 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-12-31 | $30,449,225 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $27,719,135 |
| Interest on participant loans | 2016-12-31 | $19,783 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2016-12-31 | $0 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2016-12-31 | $1,703,718 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2016-12-31 | $1,703,718 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $1,653,017 |
| 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 |
| Contributions received in cash from employer | 2016-12-31 | $932,200 |
| Employer contributions (assets) at end of year | 2016-12-31 | $379,956 |
| Employer contributions (assets) at beginning of year | 2016-12-31 | $268,211 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $1,998,911 |
| Asset. Corporate debt instrument preferred debt at end of year | 2016-12-31 | $0 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2016-12-31 | $1,237 |
| Contract administrator fees | 2016-12-31 | $28,542 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2016-12-31 | $0 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2016-12-31 | $452,955 |
| 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 | No |
| Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Unqualified |
| Accountancy firm name | 2016-12-31 | LUTZ & COMPANY, PC |
| Accountancy firm EIN | 2016-12-31 | 470625816 |
| 2015 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2015 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2015-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $122,721 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2015-12-31 | $21,027 |
| Total income from all sources (including contributions) | 2015-12-31 | $2,497,023 |
| Total loss/gain on sale of assets | 2015-12-31 | $0 |
| Total of all expenses incurred | 2015-12-31 | $1,508,727 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $1,414,481 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $3,013,028 |
| Value of total assets at end of year | 2015-12-31 | $30,781,919 |
| Value of total assets at beginning of year | 2015-12-31 | $29,691,929 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $94,246 |
| Total interest from all sources | 2015-12-31 | $18,574 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $1,527,835 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2015-12-31 | $1,527,835 |
| Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
| Value of fidelity bond cover | 2015-12-31 | $5,000,000 |
| 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 | $2,154,485 |
| Participant contributions at end of year | 2015-12-31 | $444,172 |
| Participant contributions at beginning of year | 2015-12-31 | $480,606 |
| Participant contributions at end of year | 2015-12-31 | $61,373 |
| Participant contributions at beginning of year | 2015-12-31 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2015-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2015-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2015-12-31 | $136,511 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2015-12-31 | $109,608 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-12-31 | $22,793 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2015-12-31 | $122,721 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2015-12-31 | $21,027 |
| Total non interest bearing cash at end of year | 2015-12-31 | $21,510 |
| Total non interest bearing cash at beginning of year | 2015-12-31 | $6,396 |
| 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 | $988,296 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $30,659,198 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $29,670,902 |
| 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 |
| Investment advisory and management fees | 2015-12-31 | $17,252 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-12-31 | $27,719,135 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $26,907,021 |
| Interest on participant loans | 2015-12-31 | $18,574 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2015-12-31 | $1,703,718 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2015-12-31 | $1,415,803 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2015-12-31 | $1,415,803 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-2,062,414 |
| 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 | $722,032 |
| Employer contributions (assets) at end of year | 2015-12-31 | $268,211 |
| Employer contributions (assets) at beginning of year | 2015-12-31 | $260,052 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $1,414,481 |
| Asset. Corporate debt instrument preferred debt at end of year | 2015-12-31 | $1,237 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2015-12-31 | $1,296 |
| Contract administrator fees | 2015-12-31 | $76,994 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2015-12-31 | $452,955 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2015-12-31 | $597,962 |
| 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 | No |
| Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Unqualified |
| Accountancy firm name | 2015-12-31 | MCDERMOTT & MILLER, PC |
| Accountancy firm EIN | 2015-12-31 | 470608676 |
| 2014 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2014 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $21,027 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $46,889 |
| Total income from all sources (including contributions) | 2014-12-31 | $4,440,465 |
| Total loss/gain on sale of assets | 2014-12-31 | $0 |
| Total of all expenses incurred | 2014-12-31 | $3,236,011 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $3,147,816 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $2,624,299 |
| Value of total assets at end of year | 2014-12-31 | $29,691,929 |
| Value of total assets at beginning of year | 2014-12-31 | $28,513,337 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $88,195 |
| Total interest from all sources | 2014-12-31 | $19,130 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $1,795,228 |
| 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 | $1,795,228 |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $5,000,000 |
| 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 | $1,878,593 |
| Participant contributions at end of year | 2014-12-31 | $480,606 |
| Participant contributions at beginning of year | 2014-12-31 | $555,376 |
| Assets. Other investments not covered elsewhere at end of year | 2014-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2014-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2014-12-31 | $90,462 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-12-31 | $22,793 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2014-12-31 | $46,111 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2014-12-31 | $21,027 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2014-12-31 | $46,889 |
| Other income not declared elsewhere | 2014-12-31 | $0 |
| Total non interest bearing cash at end of year | 2014-12-31 | $6,396 |
| Total non interest bearing cash at beginning of year | 2014-12-31 | $4,684 |
| 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 | $1,204,454 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $29,670,902 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $28,466,448 |
| 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 |
| Investment advisory and management fees | 2014-12-31 | $11,462 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-12-31 | $26,907,021 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $25,362,122 |
| Interest on participant loans | 2014-12-31 | $19,130 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2014-12-31 | $1,415,803 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2014-12-31 | $1,615,091 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2014-12-31 | $1,615,091 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $1,808 |
| 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 | $655,244 |
| Employer contributions (assets) at end of year | 2014-12-31 | $260,052 |
| Employer contributions (assets) at beginning of year | 2014-12-31 | $381,162 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $3,147,816 |
| Asset. Corporate debt instrument preferred debt at end of year | 2014-12-31 | $1,296 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2014-12-31 | $1,232 |
| Contract administrator fees | 2014-12-31 | $76,733 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2014-12-31 | $597,962 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2014-12-31 | $547,559 |
| 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 | No |
| Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Unqualified |
| Accountancy firm name | 2014-12-31 | MCDERMOTT & MILLER, PC |
| Accountancy firm EIN | 2014-12-31 | 470608676 |
| 2013 : SECURITIES AMERICA FINANCIAL CORPORATION 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 | $46,889 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $266,802 |
| Total income from all sources (including contributions) | 2013-12-31 | $7,403,498 |
| Total loss/gain on sale of assets | 2013-12-31 | $0 |
| Total of all expenses incurred | 2013-12-31 | $2,014,559 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $1,994,550 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $2,666,880 |
| Value of total assets at end of year | 2013-12-31 | $28,513,337 |
| Value of total assets at beginning of year | 2013-12-31 | $23,344,311 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $20,009 |
| Total interest from all sources | 2013-12-31 | $22,939 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $990,738 |
| 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 | $990,738 |
| Assets. Real estate other than employer real property at end of year | 2013-12-31 | $0 |
| Assets. Real estate other than employer real property at beginning of year | 2013-12-31 | $0 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $5,000,000 |
| 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 | $1,641,043 |
| Participant contributions at end of year | 2013-12-31 | $555,376 |
| Participant contributions at beginning of year | 2013-12-31 | $594,374 |
| Participant contributions at end of year | 2013-12-31 | $0 |
| Participant contributions at beginning of year | 2013-12-31 | $657 |
| Assets. Other investments not covered elsewhere at end of year | 2013-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2013-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2013-12-31 | $298,879 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2013-12-31 | $46,111 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2013-12-31 | $109,014 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2013-12-31 | $46,889 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2013-12-31 | $266,802 |
| Liabilities. Value of operating payables at end of year | 2013-12-31 | $0 |
| Liabilities. Value of operating payables at beginning of year | 2013-12-31 | $0 |
| Total non interest bearing cash at end of year | 2013-12-31 | $4,684 |
| Total non interest bearing cash at beginning of year | 2013-12-31 | $71,160 |
| 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 | $5,388,939 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $28,466,448 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $23,077,509 |
| 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 |
| Assets. partnership/joint venture interests at end of year | 2013-12-31 | $0 |
| Assets. partnership/joint venture interests at beginning of year | 2013-12-31 | $0 |
| Investment advisory and management fees | 2013-12-31 | $9,350 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $25,362,122 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $20,591,474 |
| Interest on participant loans | 2013-12-31 | $22,939 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2013-12-31 | $1,615,091 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2013-12-31 | $1,379,556 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2013-12-31 | $1,379,556 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $3,722,941 |
| 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 | $726,958 |
| Employer contributions (assets) at end of year | 2013-12-31 | $381,162 |
| Employer contributions (assets) at beginning of year | 2013-12-31 | $207,811 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $1,994,550 |
| Asset. Corporate debt instrument preferred debt at end of year | 2013-12-31 | $1,232 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2013-12-31 | $1,378 |
| Contract administrator fees | 2013-12-31 | $10,659 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2013-12-31 | $547,559 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2013-12-31 | $388,887 |
| Liabilities. Value of benefit claims payable at end of year | 2013-12-31 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2013-12-31 | $0 |
| 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 | No |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Unqualified |
| Accountancy firm name | 2013-12-31 | MCDERMOTT & MILLER, PC |
| Accountancy firm EIN | 2013-12-31 | 470608676 |
| 2012 : SECURITIES AMERICA FINANCIAL CORPORATION 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 | $266,802 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $77,883 |
| Total income from all sources (including contributions) | 2012-12-31 | $4,831,527 |
| Total loss/gain on sale of assets | 2012-12-31 | $0 |
| Total of all expenses incurred | 2012-12-31 | $1,444,287 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $1,419,790 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $2,094,067 |
| Value of total assets at end of year | 2012-12-31 | $23,344,311 |
| Value of total assets at beginning of year | 2012-12-31 | $19,768,152 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $24,497 |
| Total interest from all sources | 2012-12-31 | $15,627 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $707,638 |
| 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 | $707,638 |
| Assets. Real estate other than employer real property at end of year | 2012-12-31 | $0 |
| Assets. Real estate other than employer real property at beginning of year | 2012-12-31 | $0 |
| Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
| Value of fidelity bond cover | 2012-12-31 | $5,000,000 |
| 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 | $1,487,786 |
| Participant contributions at end of year | 2012-12-31 | $594,374 |
| Participant contributions at beginning of year | 2012-12-31 | $357,166 |
| Participant contributions at end of year | 2012-12-31 | $657 |
| Participant contributions at beginning of year | 2012-12-31 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2012-12-31 | $0 |
| Assets. Other investments not covered elsewhere at beginning of year | 2012-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2012-12-31 | $83,485 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2012-12-31 | $109,014 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2012-12-31 | $114,036 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2012-12-31 | $266,802 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2012-12-31 | $77,883 |
| Liabilities. Value of operating payables at end of year | 2012-12-31 | $0 |
| Liabilities. Value of operating payables at beginning of year | 2012-12-31 | $0 |
| Total non interest bearing cash at end of year | 2012-12-31 | $71,160 |
| Total non interest bearing cash at beginning of year | 2012-12-31 | $265,234 |
| 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 | $3,387,240 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $23,077,509 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $19,690,269 |
| 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 |
| Assets. partnership/joint venture interests at end of year | 2012-12-31 | $0 |
| Assets. partnership/joint venture interests at beginning of year | 2012-12-31 | $0 |
| Investment advisory and management fees | 2012-12-31 | $9,246 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $20,591,474 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $17,564,084 |
| Interest on participant loans | 2012-12-31 | $15,627 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2012-12-31 | $1,379,556 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2012-12-31 | $940,630 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2012-12-31 | $940,630 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $2,014,195 |
| 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 | $522,796 |
| Employer contributions (assets) at end of year | 2012-12-31 | $207,811 |
| Employer contributions (assets) at beginning of year | 2012-12-31 | $148,299 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $1,419,790 |
| Asset. Corporate debt instrument preferred debt at end of year | 2012-12-31 | $1,378 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2012-12-31 | $1,367 |
| Contract administrator fees | 2012-12-31 | $15,251 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2012-12-31 | $388,887 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2012-12-31 | $377,336 |
| Liabilities. Value of benefit claims payable at end of year | 2012-12-31 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2012-12-31 | $0 |
| 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 | No |
| Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Unqualified |
| Accountancy firm name | 2012-12-31 | MCDERMOTT & MILLER, PC |
| Accountancy firm EIN | 2012-12-31 | 470608676 |
| 2011 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2011 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $77,883 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $148,740 |
| Total income from all sources (including contributions) | 2011-12-31 | $1,661,330 |
| Total loss/gain on sale of assets | 2011-12-31 | $0 |
| Total of all expenses incurred | 2011-12-31 | $2,002,837 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $1,991,797 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $2,294,034 |
| Value of total assets at end of year | 2011-12-31 | $19,768,152 |
| Value of total assets at beginning of year | 2011-12-31 | $20,180,516 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $11,040 |
| Total interest from all sources | 2011-12-31 | $15,665 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $570,131 |
| 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 | $570,131 |
| Assets. Real estate other than employer real property at end of year | 2011-12-31 | $0 |
| Assets. Real estate other than employer real property at beginning of year | 2011-12-31 | $46 |
| Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
| Value of fidelity bond cover | 2011-12-31 | $5,000,000 |
| 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 | $1,687,334 |
| Participant contributions at end of year | 2011-12-31 | $357,166 |
| Participant contributions at beginning of year | 2011-12-31 | $361,766 |
| Participant contributions at end of year | 2011-12-31 | $0 |
| Participant contributions at beginning of year | 2011-12-31 | $0 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2011-12-31 | $114,064 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2011-12-31 | $114,036 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2011-12-31 | $11,491 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2011-12-31 | $77,883 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2011-12-31 | $29,449 |
| Total non interest bearing cash at end of year | 2011-12-31 | $265,234 |
| Total non interest bearing cash at beginning of year | 2011-12-31 | $11,693 |
| 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 | $-341,507 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $19,690,269 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $20,031,776 |
| 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 |
| Assets. partnership/joint venture interests at end of year | 2011-12-31 | $0 |
| Assets. partnership/joint venture interests at beginning of year | 2011-12-31 | $6,999 |
| Investment advisory and management fees | 2011-12-31 | $8,198 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $17,564,084 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $17,670,124 |
| Interest on participant loans | 2011-12-31 | $15,665 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2011-12-31 | $940,630 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2011-12-31 | $1,413,791 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2011-12-31 | $1,413,791 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-1,218,500 |
| 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 | $492,636 |
| Employer contributions (assets) at end of year | 2011-12-31 | $148,299 |
| Employer contributions (assets) at beginning of year | 2011-12-31 | $153,297 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $1,991,797 |
| Asset. Corporate debt instrument preferred debt at end of year | 2011-12-31 | $1,367 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2011-12-31 | $1,216 |
| Contract administrator fees | 2011-12-31 | $2,842 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2011-12-31 | $377,336 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2011-12-31 | $550,093 |
| Liabilities. Value of benefit claims payable at end of year | 2011-12-31 | $0 |
| Liabilities. Value of benefit claims payable at beginning of year | 2011-12-31 | $119,291 |
| 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 | No |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Unqualified |
| Accountancy firm name | 2011-12-31 | MCDERMOTT & MILLER, PC |
| Accountancy firm EIN | 2011-12-31 | 470608676 |
| 2010 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2010 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $148,740 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $0 |
| Total income from all sources (including contributions) | 2010-12-31 | $4,984,325 |
| Total loss/gain on sale of assets | 2010-12-31 | $0 |
| Total of all expenses incurred | 2010-12-31 | $2,044,243 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $2,007,226 |
| Value of total corrective distributions | 2010-12-31 | $16,325 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $2,251,950 |
| Value of total assets at end of year | 2010-12-31 | $20,180,516 |
| Value of total assets at beginning of year | 2010-12-31 | $17,091,694 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $20,692 |
| Total interest from all sources | 2010-12-31 | $14,468 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $338,661 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $338,661 |
| Assets. Real estate other than employer real property at end of year | 2010-12-31 | $46 |
| Assets. Real estate other than employer real property at beginning of year | 2010-12-31 | $2,118 |
| Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
| Value of fidelity bond cover | 2010-12-31 | $5,000,000 |
| If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
| Contributions received from participants | 2010-12-31 | $1,623,586 |
| Participant contributions at end of year | 2010-12-31 | $361,766 |
| Participant contributions at beginning of year | 2010-12-31 | $294,290 |
| Participant contributions at end of year | 2010-12-31 | $0 |
| Participant contributions at beginning of year | 2010-12-31 | $48,546 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2010-12-31 | $140,818 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2010-12-31 | $11,491 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2010-12-31 | $22,114 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2010-12-31 | $29,449 |
| Total non interest bearing cash at end of year | 2010-12-31 | $11,693 |
| Total non interest bearing cash at beginning of year | 2010-12-31 | $6,499 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
| Value of net income/loss | 2010-12-31 | $2,940,082 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $20,031,776 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $17,091,694 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
| Assets. partnership/joint venture interests at end of year | 2010-12-31 | $6,999 |
| Investment advisory and management fees | 2010-12-31 | $8,351 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $17,670,124 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $14,932,911 |
| Interest on participant loans | 2010-12-31 | $14,468 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2010-12-31 | $1,413,791 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2010-12-31 | $1,412,594 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2010-12-31 | $1,412,594 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $2,379,246 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
| Contributions received in cash from employer | 2010-12-31 | $487,546 |
| Employer contributions (assets) at end of year | 2010-12-31 | $153,297 |
| Employer contributions (assets) at beginning of year | 2010-12-31 | $1,444 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $2,007,226 |
| Asset. Corporate debt instrument preferred debt at end of year | 2010-12-31 | $1,216 |
| Asset. Corporate debt instrument preferred debt at beginning of year | 2010-12-31 | $1,158 |
| Contract administrator fees | 2010-12-31 | $12,341 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2010-12-31 | $550,093 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2010-12-31 | $370,020 |
| Liabilities. Value of benefit claims payable at end of year | 2010-12-31 | $119,291 |
| Did the plan have assets held for investment | 2010-12-31 | 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 | 2010-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Unqualified |
| Accountancy firm name | 2010-12-31 | ERNST & YOUNG LLP |
| Accountancy firm EIN | 2010-12-31 | 346565596 |
| 2009 : SECURITIES AMERICA FINANCIAL CORPORATION 401(K) PLAN 2009 401k financial data |
|---|
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2009-12-31 | $0 |
