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PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NamePROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN
Plan identification number 001

PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

PROSPERA FINANCIAL SERVICES has sponsored the creation of one or more 401k plans.

Company Name:PROSPERA FINANCIAL SERVICES
Employer identification number (EIN):751832551
NAIC Classification:523120
NAIC Description:Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01DAVID STRINGER2024-10-10
0012022-01-01DAVID STRINGER2023-10-02
0012021-01-01DAVID STRINGER2022-09-19
0012020-01-01DAVID STRINGER2021-08-23
0012019-01-01DAVID STRINGER2020-08-31
0012018-01-01DAVID STRINGER2019-08-07
0012017-01-01DAVID STRINGER2018-08-20
0012016-01-01DAVID STRINGER2017-09-05
0012015-01-01DAVID STRINGER2016-08-30
0012013-01-01DAVID STRINGER2014-08-07
0012012-01-01DAVID STRINGER2013-10-06
0012011-01-01DAVID STRINGER2012-10-09
0012010-01-01DAVID STRINGER2011-09-14

Plan Statistics for PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN

Measure Date Value
2025: PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN 2025 401k membership
Total number of particpants at beginning of year2025-10-15101
Total number of particpants at end of year2025-10-15108
Number of Participants With Account Balances2025-10-15107
2024: PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN 2024 401k membership
Total number of particpants at beginning of year2024-10-10102
Total number of particpants at end of year2024-10-1099
Number of Participants With Account Balances2024-10-1099
2022: PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN 2022 401k membership
Total number of particpants at beginning of year2022-09-1962
Total number of particpants at end of year2022-09-1987
Number of Participants With Account Balances2022-09-1983

Financial Data on PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN

Measure Date Value
2025 : PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN 2025 401k financial data
Total expenses incurred by plan in this plan year2025-10-151266802
Net assets as of the end of the plan year2025-10-1510616373
Total assets as of the beginning of the plan year2025-10-159240606
Value of plan covered by a fidelity bond2025-10-153000000
Participant contributions to plan in this plan year2025-10-15854563
Value of participant loans at end of plan year2025-10-15107337
Other contributions to plan in this plan year2025-10-157000
Other income to plan in this plan year2025-10-151055364
Plan net income in this plan year2025-10-151375767
Net assets as of the end of the plan year2025-10-1510616373
Net assets as of the beginning of the plan year2025-10-159240606
Employer contributions to plan in this plan year2025-10-15725642
Expensese paid to adminstrative service provicers from plan in this plan year2025-10-1533835
2024 : PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN 2024 401k financial data
Total expenses incurred by plan in this plan year2024-10-10665844
Net assets as of the end of the plan year2024-10-109240606
Total assets as of the beginning of the plan year2024-10-107241682
Value of plan covered by a fidelity bond2024-10-103000000
Participant contributions to plan in this plan year2024-10-10835476
Value of participant loans at end of plan year2024-10-10114730
Other contributions to plan in this plan year2024-10-10127016
Other income to plan in this plan year2024-10-101110096
Plan net income in this plan year2024-10-101998924
Net assets as of the end of the plan year2024-10-109240606
Net assets as of the beginning of the plan year2024-10-107241682
Employer contributions to plan in this plan year2024-10-10592180
Expensese paid to adminstrative service provicers from plan in this plan year2024-10-1028194
2022 : PROSPERA FINANCIAL SERVICES 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total expenses incurred by plan in this plan year2022-09-191300225
Net assets as of the end of the plan year2022-09-198000877
Total assets as of the beginning of the plan year2022-09-197530289
Value of plan covered by a fidelity bond2022-09-193000000
Participant contributions to plan in this plan year2022-09-19477648
Value of participant loans at end of plan year2022-09-19123797
Other expenses paid from plan in this plan year2022-09-1927464
Other income to plan in this plan year2022-09-19992319
Plan net income in this plan year2022-09-19470588
Net assets as of the end of the plan year2022-09-198000877
Net assets as of the beginning of the plan year2022-09-197530289
Employer contributions to plan in this plan year2022-09-19300846
Expensese paid to adminstrative service provicers from plan in this plan year2022-09-190

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