401k Plan data: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN plan

JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 401k Plan overview

Plan Name	JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN
Plan identification number	006

JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

JONESTRADING INSTITUTIONAL SERVICES LLC has sponsored the creation of one or more 401k plans.

Company Name: JONESTRADING INSTITUTIONAL SERVICES LLC

Employer identification number (EIN): 510484896

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Additional information about JONESTRADING INSTITUTIONAL SERVICES LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3425841

More information about JONESTRADING INSTITUTIONAL SERVICES LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
006 2022-01-01
006 2021-01-01
006 2020-01-01
006 2019-01-01
006 2019-01-01
006 2018-01-01 BURKE COOK BURKE COOK 2019-07-24
006 2017-01-01 STEVEN CHMIELEWSKI STEVEN CHMIELEWSKI 2018-07-27
006 2016-01-01 STEVE CHMIELEWSKI STEVE CHMIELEWSKI 2017-06-14
006 2015-01-01 STEVEN A. CHMIELEWSKI STEVEN A. CHMIELEWSKI 2016-07-14
006 2014-01-01 STEVEN A. CHMIELEWSKI
006 2013-01-01 STEVEN A. CHMIELEWSKI STEVEN A. CHMIELEWSKI 2014-08-12
006 2012-01-01 STEVEN A. CHMIELEWSKI STEVEN A. CHMIELEWSKI 2013-07-30
006 2011-01-01 STEVEN A. CHMIELEWSKI
006 2010-01-01 STEVEN A. CHMIELEWSKI
006 2009-01-01 STEVEN A. CHMIELEWSKI

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
006	2022-01-01
006	2021-01-01
006	2020-01-01
006	2019-01-01
006	2019-01-01
006	2018-01-01	BURKE COOK	BURKE COOK	2019-07-24
006	2017-01-01	STEVEN CHMIELEWSKI	STEVEN CHMIELEWSKI	2018-07-27
006	2016-01-01	STEVE CHMIELEWSKI	STEVE CHMIELEWSKI	2017-06-14
006	2015-01-01	STEVEN A. CHMIELEWSKI	STEVEN A. CHMIELEWSKI	2016-07-14
006	2014-01-01	STEVEN A. CHMIELEWSKI
006	2013-01-01	STEVEN A. CHMIELEWSKI	STEVEN A. CHMIELEWSKI	2014-08-12
006	2012-01-01	STEVEN A. CHMIELEWSKI	STEVEN A. CHMIELEWSKI	2013-07-30
006	2011-01-01	STEVEN A. CHMIELEWSKI
006	2010-01-01	STEVEN A. CHMIELEWSKI
006	2009-01-01	STEVEN A. CHMIELEWSKI

Plan Statistics for JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN

401k plan membership statisitcs for JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN

Measure Date Value
2022: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 187
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 170
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 31
Total of all active and inactive participants 2022-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 201
Number of participants with account balances 2022-01-01 165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 187
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 159
Number of retired or separated participants receiving benefits 2021-01-01 1
Number of other retired or separated participants entitled to future benefits 2021-01-01 27
Total of all active and inactive participants 2021-01-01 187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 187
Number of participants with account balances 2021-01-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 187
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 154
Number of retired or separated participants receiving benefits 2020-01-01 1
Number of other retired or separated participants entitled to future benefits 2020-01-01 30
Total of all active and inactive participants 2020-01-01 185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 1
Total participants 2020-01-01 186
Number of participants with account balances 2020-01-01 154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 186
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 155
Number of retired or separated participants receiving benefits 2019-01-01 1
Number of other retired or separated participants entitled to future benefits 2019-01-01 30
Total of all active and inactive participants 2019-01-01 186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 186
Number of participants with account balances 2019-01-01 150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 175
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 146
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 28
Total of all active and inactive participants 2018-01-01 175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 175
Number of participants with account balances 2018-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 171
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 145
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 24
Total of all active and inactive participants 2017-01-01 170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 170
Number of participants with account balances 2017-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 168
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 140
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 28
Total of all active and inactive participants 2016-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 168
Number of participants with account balances 2016-01-01 140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 166
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 140
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 28
Total of all active and inactive participants 2015-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 168
Number of participants with account balances 2015-01-01 139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 165
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 138
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 27
Total of all active and inactive participants 2014-01-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 165
Number of participants with account balances 2014-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 165
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 142
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 23
Total of all active and inactive participants 2013-01-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 165
Number of participants with account balances 2013-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 165
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 144
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 20
Total of all active and inactive participants 2012-01-01 164
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 164
Number of participants with account balances 2012-01-01 140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 167
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 143
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 22
Total of all active and inactive participants 2011-01-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 165
Number of participants with account balances 2011-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 175
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 148
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 17
Total of all active and inactive participants 2010-01-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 165
Number of participants with account balances 2010-01-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 208
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 162
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 12
Total of all active and inactive participants 2009-01-01 174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 174
Number of participants with account balances 2009-01-01 158
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2022: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	187
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	170
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	31
Total of all active and inactive participants	2022-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	201
Number of participants with account balances	2022-01-01	165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	187
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	159
Number of retired or separated participants receiving benefits	2021-01-01	1
Number of other retired or separated participants entitled to future benefits	2021-01-01	27
Total of all active and inactive participants	2021-01-01	187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	187
Number of participants with account balances	2021-01-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	187
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	154
Number of retired or separated participants receiving benefits	2020-01-01	1
Number of other retired or separated participants entitled to future benefits	2020-01-01	30
Total of all active and inactive participants	2020-01-01	185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	1
Total participants	2020-01-01	186
Number of participants with account balances	2020-01-01	154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	186
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	155
Number of retired or separated participants receiving benefits	2019-01-01	1
Number of other retired or separated participants entitled to future benefits	2019-01-01	30
Total of all active and inactive participants	2019-01-01	186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	186
Number of participants with account balances	2019-01-01	150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	175
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	146
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	28
Total of all active and inactive participants	2018-01-01	175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	175
Number of participants with account balances	2018-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	171
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	145
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	24
Total of all active and inactive participants	2017-01-01	170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	170
Number of participants with account balances	2017-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	168
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	140
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	28
Total of all active and inactive participants	2016-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	168
Number of participants with account balances	2016-01-01	140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	166
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	140
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	28
Total of all active and inactive participants	2015-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	168
Number of participants with account balances	2015-01-01	139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	165
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	138
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	27
Total of all active and inactive participants	2014-01-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	165
Number of participants with account balances	2014-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	165
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	142
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	23
Total of all active and inactive participants	2013-01-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	165
Number of participants with account balances	2013-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	165
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	144
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	20
Total of all active and inactive participants	2012-01-01	164
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	164
Number of participants with account balances	2012-01-01	140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	167
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	143
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	22
Total of all active and inactive participants	2011-01-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	165
Number of participants with account balances	2011-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	175
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	148
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	17
Total of all active and inactive participants	2010-01-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	165
Number of participants with account balances	2010-01-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	208
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	162
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	12
Total of all active and inactive participants	2009-01-01	174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	174
Number of participants with account balances	2009-01-01	158
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN

Measure	Date	Value
2022 : JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-12,455,788
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$3,621,963
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$3,602,005
Value of total corrective distributions	2022-12-31	$2,700
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$3,881,488
Value of total assets at end of year	2022-12-31	$79,978,040
Value of total assets at beginning of year	2022-12-31	$96,055,791
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$17,258
Total interest from all sources	2022-12-31	$213,182
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$814,396
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$814,396
Administrative expenses professional fees incurred	2022-12-31	$14,500
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$1,500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$2,206,230
Participant contributions at end of year	2022-12-31	$356,709
Participant contributions at beginning of year	2022-12-31	$372,165
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$539,809
Other income not declared elsewhere	2022-12-31	$51,744
Administrative expenses (other) incurred	2022-12-31	$60
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-16,077,751
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$79,978,040
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$96,055,791
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$51,003,563
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$62,219,686
Value of interest in pooled separate accounts at end of year	2022-12-31	$16,370,528
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$18,582,217
Interest on participant loans	2022-12-31	$12,521
Interest earned on other investments	2022-12-31	$170,605
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$1,792,651
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$1,875,545
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$1,875,545
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$30,056
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$9,319,140
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$11,981,567
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-13,665,096
Net investment gain/loss from pooled separate accounts	2022-12-31	$-3,751,502
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$1,135,449
Employer contributions (assets) at end of year	2022-12-31	$1,135,449
Employer contributions (assets) at beginning of year	2022-12-31	$1,024,611
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$3,602,005
Contract administrator fees	2022-12-31	$2,698
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	JLK ROSENBERGER LLP
Accountancy firm EIN	2022-12-31	271532099
2021 : JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$15,516,813
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$2,910,185
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$2,889,840
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$3,234,010
Value of total assets at end of year	2021-12-31	$96,055,791
Value of total assets at beginning of year	2021-12-31	$83,449,163
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$20,345
Total interest from all sources	2021-12-31	$258,975
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$685,323
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$685,323
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$1,500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$2,009,804
Participant contributions at end of year	2021-12-31	$372,165
Participant contributions at beginning of year	2021-12-31	$467,054
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$199,595
Other income not declared elsewhere	2021-12-31	$22,875
Administrative expenses (other) incurred	2021-12-31	$20,345
Total non interest bearing cash at end of year	2021-12-31	$0
Total non interest bearing cash at beginning of year	2021-12-31	$154
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$12,606,628
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$96,055,791
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$83,449,163
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$62,219,686
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$54,654,520
Value of interest in pooled separate accounts at end of year	2021-12-31	$18,582,217
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$13,619,830
Interest on participant loans	2021-12-31	$32,986
Interest earned on other investments	2021-12-31	$225,789
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$1,875,545
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$3,048,795
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$3,048,795
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$200
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$11,981,567
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$10,527,797
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$7,969,776
Net investment gain/loss from pooled separate accounts	2021-12-31	$3,345,854
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$1,024,611
Employer contributions (assets) at end of year	2021-12-31	$1,024,611
Employer contributions (assets) at beginning of year	2021-12-31	$1,131,013
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$2,889,840
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	JLK ROSENBERGER LLP
Accountancy firm EIN	2021-12-31	271532099
2020 : JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$15,321,174
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$5,696,195
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$5,674,572
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$3,469,731
Value of total assets at end of year	2020-12-31	$83,449,163
Value of total assets at beginning of year	2020-12-31	$73,824,184
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$21,623
Total interest from all sources	2020-12-31	$291,855
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$563,015
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$563,015
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,934,928
Participant contributions at end of year	2020-12-31	$467,054
Participant contributions at beginning of year	2020-12-31	$541,151
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$388,021
Other income not declared elsewhere	2020-12-31	$25,891
Administrative expenses (other) incurred	2020-12-31	$21,623
Total non interest bearing cash at end of year	2020-12-31	$154
Total non interest bearing cash at beginning of year	2020-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$9,624,979
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$83,449,163
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$73,824,184
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$54,654,520
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$48,580,610
Value of interest in pooled separate accounts at end of year	2020-12-31	$13,619,830
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$10,956,405
Interest on participant loans	2020-12-31	$33,980
Interest earned on other investments	2020-12-31	$248,578
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$3,048,795
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$2,230,283
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$2,230,283
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$9,297
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$10,527,797
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$10,460,894
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$8,771,257
Net investment gain/loss from pooled separate accounts	2020-12-31	$2,199,425
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$1,146,782
Employer contributions (assets) at end of year	2020-12-31	$1,131,013
Employer contributions (assets) at beginning of year	2020-12-31	$1,054,841
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$5,674,572
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	JLK ROSENBERGER LLP
Accountancy firm EIN	2020-12-31	271532099
2019 : JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$14,843,917
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$578,024
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$555,352
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$2,824,590
Value of total assets at end of year	2019-12-31	$73,824,184
Value of total assets at beginning of year	2019-12-31	$59,558,291
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$22,672
Total interest from all sources	2019-12-31	$351,676
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$679,303
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$679,303
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,694,793
Participant contributions at end of year	2019-12-31	$541,151
Participant contributions at beginning of year	2019-12-31	$587,948
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$51,344
Other income not declared elsewhere	2019-12-31	$14,914
Administrative expenses (other) incurred	2019-12-31	$22,672
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$14,265,893
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$73,824,184
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$59,558,291
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$48,580,610
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$38,037,502
Value of interest in pooled separate accounts at end of year	2019-12-31	$10,956,405
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$8,171,578
Interest on participant loans	2019-12-31	$36,443
Interest earned on other investments	2019-12-31	$258,992
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$2,230,283
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$2,463,104
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$2,463,104
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$56,241
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$10,460,894
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$9,253,831
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$8,721,689
Net investment gain/loss from pooled separate accounts	2019-12-31	$2,251,745
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$1,078,453
Employer contributions (assets) at end of year	2019-12-31	$1,054,841
Employer contributions (assets) at beginning of year	2019-12-31	$1,044,328
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$555,352
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$0
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	JLK ROSENBERGER LLP
Accountancy firm EIN	2019-12-31	271532099
2018 : JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	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	$154,591
Total income from all sources (including contributions)	2018-12-31	$-122,880
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$5,110,024
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$5,089,513
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,639,512
Value of total assets at end of year	2018-12-31	$59,558,291
Value of total assets at beginning of year	2018-12-31	$64,945,786
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$20,511
Total interest from all sources	2018-12-31	$278,504
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$600,811
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	$600,811
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,595,184
Participant contributions at end of year	2018-12-31	$587,948
Participant contributions at beginning of year	2018-12-31	$495,456
Other income not declared elsewhere	2018-12-31	$37,981
Administrative expenses (other) incurred	2018-12-31	$20,511
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
Value of net income/loss	2018-12-31	$-5,232,904
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$59,558,291
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$64,791,195
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$38,037,502
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$43,540,977
Value of interest in pooled separate accounts at end of year	2018-12-31	$8,171,578
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$7,350,595
Interest on participant loans	2018-12-31	$29,283
Interest earned on other investments	2018-12-31	$209,626
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$2,463,104
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$1,993,425
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$1,993,425
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$39,595
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$9,253,831
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$10,515,049
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-3,104,194
Net investment gain/loss from pooled separate accounts	2018-12-31	$-575,494
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
Contributions received in cash from employer	2018-12-31	$1,044,328
Employer contributions (assets) at end of year	2018-12-31	$1,044,328
Employer contributions (assets) at beginning of year	2018-12-31	$1,050,284
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$5,089,513
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	$154,591
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
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	JLK ROSENBERGER LLP
Accountancy firm EIN	2018-12-31	271532099
2017 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$154,591
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	$11,713,716
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$501,326
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$312,550
Value of total corrective distributions	2017-12-31	$154,591
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,795,689
Value of total assets at end of year	2017-12-31	$64,945,786
Value of total assets at beginning of year	2017-12-31	$53,578,805
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$34,185
Total interest from all sources	2017-12-31	$232,419
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$445,669
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	$445,669
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
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	$1,504,025
Participant contributions at end of year	2017-12-31	$495,456
Participant contributions at beginning of year	2017-12-31	$393,975
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$241,380
Other income not declared elsewhere	2017-12-31	$33,368
Administrative expenses (other) incurred	2017-12-31	$34,185
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	$11,212,390
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$64,791,195
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$53,578,805
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$43,540,977
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$33,759,761
Value of interest in pooled separate accounts at end of year	2017-12-31	$7,350,595
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$5,604,585
Interest on participant loans	2017-12-31	$19,377
Interest earned on other investments	2017-12-31	$204,538
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$1,993,425
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$8,504
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$10,515,049
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$12,650,859
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$7,116,783
Net investment gain/loss from pooled separate accounts	2017-12-31	$1,089,788
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	$1,050,284
Employer contributions (assets) at end of year	2017-12-31	$1,050,284
Employer contributions (assets) at beginning of year	2017-12-31	$1,169,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$312,550
Liabilities. Value of benefit claims payable at end of year	2017-12-31	$154,591
Liabilities. Value of benefit claims payable at beginning of year	2017-12-31	$0
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	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	JLK ROSENBERGER LLP
Accountancy firm EIN	2017-12-31	271532099
2016 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$0
Total income from all sources (including contributions)	2016-12-31	$6,166,224
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$397,554
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$364,773
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,780,196
Value of total assets at end of year	2016-12-31	$53,578,805
Value of total assets at beginning of year	2016-12-31	$47,810,135
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$32,781
Total interest from all sources	2016-12-31	$204,512
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$510,393
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	$510,393
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,500,000
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
Contributions received from participants	2016-12-31	$1,518,118
Participant contributions at end of year	2016-12-31	$393,975
Participant contributions at beginning of year	2016-12-31	$367,172
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$57,870
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$92,453
Other income not declared elsewhere	2016-12-31	$28,899
Administrative expenses (other) incurred	2016-12-31	$32,781
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	$5,768,670
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$53,578,805
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$47,810,135
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 end of year	2016-12-31	$33,759,761
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$30,911,818
Value of interest in pooled separate accounts at end of year	2016-12-31	$5,604,585
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$5,030,438
Interest on participant loans	2016-12-31	$18,413
Interest earned on other investments	2016-12-31	$186,099
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$12,650,859
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$10,276,271
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$2,167,009
Net investment gain/loss from pooled separate accounts	2016-12-31	$475,215
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	$1,169,625
Employer contributions (assets) at end of year	2016-12-31	$1,169,625
Employer contributions (assets) at beginning of year	2016-12-31	$1,166,566
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$364,773
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	JLK ROSENBERGER LLP
Accountancy firm EIN	2016-12-31	271532099
2015 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$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	$3,317,523
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,718,015
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,654,780
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,704,740
Value of total assets at end of year	2015-12-31	$47,810,135
Value of total assets at beginning of year	2015-12-31	$46,210,627
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$63,235
Total interest from all sources	2015-12-31	$198,483
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$336,574
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	$336,574
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
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	$1,502,330
Participant contributions at end of year	2015-12-31	$367,172
Participant contributions at beginning of year	2015-12-31	$404,572
Participant contributions at end of year	2015-12-31	$57,870
Other income not declared elsewhere	2015-12-31	$27,705
Administrative expenses (other) incurred	2015-12-31	$63,235
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	$1,599,508
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$47,810,135
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$46,210,627
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	$30,911,818
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$30,310,041
Value of interest in pooled separate accounts at end of year	2015-12-31	$5,030,438
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$4,085,469
Interest on participant loans	2015-12-31	$17,447
Interest earned on other investments	2015-12-31	$181,036
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$10,276,271
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$10,324,662
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$46,459
Net investment gain/loss from pooled separate accounts	2015-12-31	$3,562
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	$1,202,410
Employer contributions (assets) at end of year	2015-12-31	$1,166,566
Employer contributions (assets) at beginning of year	2015-12-31	$1,085,883
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,654,780
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	JLK ROSENBERGER LLP
Accountancy firm EIN	2015-12-31	271532099
2014 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$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	$5,020,685
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,430,753
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,408,839
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,550,010
Value of total assets at end of year	2014-12-31	$46,210,627
Value of total assets at beginning of year	2014-12-31	$43,620,695
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$21,914
Total interest from all sources	2014-12-31	$219,384
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$310,544
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	$310,544
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
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	$1,464,127
Participant contributions at end of year	2014-12-31	$404,572
Participant contributions at beginning of year	2014-12-31	$534,217
Other income not declared elsewhere	2014-12-31	$26,160
Administrative expenses (other) incurred	2014-12-31	$21,914
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	$2,589,932
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$46,210,627
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$43,620,695
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	$30,310,041
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$28,454,416
Value of interest in pooled separate accounts at end of year	2014-12-31	$4,085,469
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,165,947
Interest on participant loans	2014-12-31	$23,284
Interest earned on other investments	2014-12-31	$196,100
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$10,324,662
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$11,395,852
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$1,666,569
Net investment gain/loss from pooled separate accounts	2014-12-31	$248,018
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	$1,085,883
Employer contributions (assets) at end of year	2014-12-31	$1,085,883
Employer contributions (assets) at beginning of year	2014-12-31	$1,070,263
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,408,839
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	JLK ROSENBERGER LLP
Accountancy firm EIN	2014-12-31	271532099
2013 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$9,538,750
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,417,575
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,401,218
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,776,496
Value of total assets at end of year	2013-12-31	$43,620,695
Value of total assets at beginning of year	2013-12-31	$35,499,520
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$16,357
Total interest from all sources	2013-12-31	$229,447
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$291,256
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	$291,256
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
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	$1,388,309
Participant contributions at end of year	2013-12-31	$534,217
Participant contributions at beginning of year	2013-12-31	$524,635
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$317,924
Other income not declared elsewhere	2013-12-31	$21,994
Administrative expenses (other) incurred	2013-12-31	$16,357
Total non interest bearing cash at beginning of year	2013-12-31	$23
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	$8,121,175
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$43,620,695
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$35,499,520
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	$28,454,416
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$22,738,247
Value of interest in pooled separate accounts at end of year	2013-12-31	$2,165,947
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$1,772,190
Interest on participant loans	2013-12-31	$22,685
Interest earned on other investments	2013-12-31	$206,762
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$11,395,852
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$9,411,086
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,755,158
Net investment gain/loss from pooled separate accounts	2013-12-31	$464,399
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	$1,070,263
Employer contributions (assets) at end of year	2013-12-31	$1,070,263
Employer contributions (assets) at beginning of year	2013-12-31	$1,053,339
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,401,218
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	JLK ROSENBERGER LLP
Accountancy firm EIN	2013-12-31	271532099
2012 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$6,712,132
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,931,337
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,915,661
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,785,185
Value of total assets at end of year	2012-12-31	$35,499,520
Value of total assets at beginning of year	2012-12-31	$30,718,725
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$15,676
Total interest from all sources	2012-12-31	$193,020
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$340,345
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	$340,345
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
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	$1,298,989
Participant contributions at end of year	2012-12-31	$524,635
Participant contributions at beginning of year	2012-12-31	$353,206
Participant contributions at beginning of year	2012-12-31	$53,168
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$432,857
Other income not declared elsewhere	2012-12-31	$18,676
Administrative expenses (other) incurred	2012-12-31	$15,676
Total non interest bearing cash at end of year	2012-12-31	$23
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	$4,780,795
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$35,499,520
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$30,718,725
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	$22,738,247
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$21,452,749
Value of interest in pooled separate accounts at end of year	2012-12-31	$1,772,190
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$1,362,839
Interest on participant loans	2012-12-31	$16,846
Interest earned on other investments	2012-12-31	$176,174
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$9,411,086
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$6,455,408
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$3,182,523
Net investment gain/loss from pooled separate accounts	2012-12-31	$192,383
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	$1,053,339
Employer contributions (assets) at end of year	2012-12-31	$1,053,339
Employer contributions (assets) at beginning of year	2012-12-31	$1,041,355
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,915,661
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	JLK ROSENBERGER LLP
Accountancy firm EIN	2012-12-31	271532099
2011 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$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	$1,865,017
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,681,203
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,657,834
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,386,394
Value of total assets at end of year	2011-12-31	$30,718,725
Value of total assets at beginning of year	2011-12-31	$30,534,911
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$23,369
Total interest from all sources	2011-12-31	$177,887
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$329,445
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	$329,445
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
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	$1,315,268
Participant contributions at end of year	2011-12-31	$353,206
Participant contributions at beginning of year	2011-12-31	$341,351
Participant contributions at end of year	2011-12-31	$53,168
Other income not declared elsewhere	2011-12-31	$18,133
Administrative expenses (other) incurred	2011-12-31	$23,369
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	$183,814
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$30,718,725
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$30,534,911
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	$21,452,749
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$22,739,586
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,362,839
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$1,080,326
Interest on participant loans	2011-12-31	$11,974
Interest earned on other investments	2011-12-31	$165,913
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$6,455,408
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$6,370,847
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,075,045
Net investment gain/loss from pooled separate accounts	2011-12-31	$28,203
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	$1,071,126
Employer contributions (assets) at end of year	2011-12-31	$1,041,355
Employer contributions (assets) at beginning of year	2011-12-31	$2,801
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,657,834
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	JLK PARTNERS, LLP
Accountancy firm EIN	2011-12-31	271532099
2010 : JONESTRADING INSTITUTIONAL SERVICES LLC 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	$0
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	$5,204,325
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,734,995
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,732,661
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,548,455
Value of total assets at end of year	2010-12-31	$30,534,911
Value of total assets at beginning of year	2010-12-31	$27,065,581
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,334
Total interest from all sources	2010-12-31	$176,549
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$349,031
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	$349,031
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,356,799
Participant contributions at end of year	2010-12-31	$341,351
Participant contributions at beginning of year	2010-12-31	$216,608
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$19,239
Other income not declared elsewhere	2010-12-31	$18,243
Administrative expenses (other) incurred	2010-12-31	$2,334
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	$3,469,330
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$30,534,911
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$27,065,581
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$22,739,586
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$22,133,386
Value of interest in pooled separate accounts at end of year	2010-12-31	$1,080,326
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$538,449
Interest on participant loans	2010-12-31	$11,746
Interest earned on other investments	2010-12-31	$164,803
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$6,370,847
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$4,177,138
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$2,112,047
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	$1,172,417
Employer contributions (assets) at end of year	2010-12-31	$2,801
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,732,661
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	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	JLK PARTNERS, LLP
Accountancy firm EIN	2010-12-31	271532099
2009 : JONESTRADING INSTITUTIONAL SERVICES LLC 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

Form 5500 Responses for JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN

2022: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	Yes
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: JONESTRADING INSTITUTIONAL SERVICES LLC 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 – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: JONESTRADING INSTITUTIONAL SERVICES LLC 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: JONESTRADING INSTITUTIONAL SERVICES LLC 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: JONESTRADING INSTITUTIONAL SERVICES LLC 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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: JONESTRADING INSTITUTIONAL SERVICES LLC 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: JONESTRADING INSTITUTIONAL SERVICES LLC 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

075097

Policy instance

Insurance contract or identification number	075097
Number of Individuals Covered	201
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

075097

Policy instance

Insurance contract or identification number	075097
Number of Individuals Covered	187
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

075097

Policy instance

Insurance contract or identification number	075097
Number of Individuals Covered	186
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

075097

Policy instance

Insurance contract or identification number	075097
Number of Individuals Covered	186
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

075097

Policy instance

Insurance contract or identification number	075097
Number of Individuals Covered	175
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

075097

Policy instance

Insurance contract or identification number	075097
Number of Individuals Covered	107
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041363

Policy instance

Insurance contract or identification number	041363
Number of Individuals Covered	0
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041363

Policy instance

Insurance contract or identification number	041363
Number of Individuals Covered	168
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041363

Policy instance

Insurance contract or identification number	041363
Number of Individuals Covered	142
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041363

Policy instance

Insurance contract or identification number	041363
Number of Individuals Covered	165
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041363

Policy instance

Insurance contract or identification number	041363
Number of Individuals Covered	164
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041363

Policy instance

Insurance contract or identification number	041363
Number of Individuals Covered	165
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041363

Policy instance

Insurance contract or identification number	041363
Number of Individuals Covered	165
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

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Company Name:	JONESTRADING INSTITUTIONAL SERVICES LLC
Employer identification number (EIN):	510484896
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3425841