401k Plan data: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN plan

RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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

RODMAN & RENSHAW, LLC has sponsored the creation of one or more 401k plans.

Company Name: RODMAN & RENSHAW, LLC

Employer identification number (EIN): 830378117

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about RODMAN & RENSHAW, LLC

Jurisdiction of Incorporation: Florida Department of State Division of Corporations

Incorporation Date: 2011-06-28

Company Identification Number: L11000075136

Legal Registered Office Address: 5550 GLADES ROAD

BOCA RATON

33431

More information about RODMAN & RENSHAW, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01
001 2018-01-01 JACK R. BROESAMLE 2019-09-20
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 JACK R. BROESAMLE 2015-07-14
001 2013-01-01 JACK R. BROESAMLE 2014-05-05
001 2012-01-01 JACK R. BROESAMLE
001 2011-01-01 CATHY RIVERA
001 2009-01-01 THOMAS PINOU

Plan Statistics for RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 226
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
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 65
Total of all active and inactive participants 2012-01-01 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 65
Number of participants with account balances 2012-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 160
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 184
Number of other retired or separated participants entitled to future benefits 2011-01-01 42
Total of all active and inactive participants 2011-01-01 226
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 226
Number of participants with account balances 2011-01-01 113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 110
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 29
Total of all active and inactive participants 2009-01-01 139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 139
Number of participants with account balances 2009-01-01 76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	226
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
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	65
Total of all active and inactive participants	2012-01-01	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	65
Number of participants with account balances	2012-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	160
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	184
Number of other retired or separated participants entitled to future benefits	2011-01-01	42
Total of all active and inactive participants	2011-01-01	226
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	226
Number of participants with account balances	2011-01-01	113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	110
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	29
Total of all active and inactive participants	2009-01-01	139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	139
Number of participants with account balances	2009-01-01	76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING 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	$1,114,112
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$4,127,119
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$4,049,229
Expenses. Certain deemed distributions of participant loans	2012-12-31	$61,116
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$609,084
Value of total assets at end of year	2012-12-31	$2,586,574
Value of total assets at beginning of year	2012-12-31	$5,599,581
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$16,774
Total interest from all sources	2012-12-31	$2,561
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$77,531
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$77,531
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$473,404
Participant contributions at end of year	2012-12-31	$30,735
Participant contributions at beginning of year	2012-12-31	$90,768
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$28,238
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$135,680
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$1,355
Administrative expenses (other) incurred	2012-12-31	$600
Total non interest bearing cash at end of year	2012-12-31	$10
Total non interest bearing cash at beginning of year	2012-12-31	$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	2012-12-31	No
Value of net income/loss	2012-12-31	$-3,013,007
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$2,586,574
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$5,599,581
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
Investment advisory and management fees	2012-12-31	$16,174
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$1,388,666
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$3,450,735
Value of interest in pooled separate accounts at end of year	2012-12-31	$389,444
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$546,852
Interest on participant loans	2012-12-31	$2,561
Value of interest in common/collective trusts at end of year	2012-12-31	$734,345
Value of interest in common/collective trusts at beginning of year	2012-12-31	$54,566
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$40
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$1,348,135
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$1,348,135
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$424,936
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$4,049,229
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$43,334
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$78,932
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	KUSHMAN, KIPPELMAN & TAUB, PLLC
Accountancy firm EIN	2012-12-31	261482899
2011 : RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$2,236,678
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	$930,121
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,300,826
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,237,302
Expenses. Certain deemed distributions of participant loans	2011-12-31	$33,780
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$991,680
Value of total assets at end of year	2011-12-31	$5,599,581
Value of total assets at beginning of year	2011-12-31	$3,733,608
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$29,744
Total interest from all sources	2011-12-31	$4,435
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
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	$955,595
Participant contributions at end of year	2011-12-31	$90,768
Participant contributions at beginning of year	2011-12-31	$3,457
Participant contributions at end of year	2011-12-31	$28,238
Participant contributions at beginning of year	2011-12-31	$42,962
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$36,085
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$1,355
Administrative expenses (other) incurred	2011-12-31	$400
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	$-370,705
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$5,599,581
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$3,733,608
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
Investment advisory and management fees	2011-12-31	$7,701
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$3,450,735
Value of interest in pooled separate accounts at end of year	2011-12-31	$546,852
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$3,485,031
Interest on participant loans	2011-12-31	$4,435
Value of interest in common/collective trusts at end of year	2011-12-31	$54,566
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$1,348,135
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$202,158
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-206,727
Net investment gain or loss from common/collective trusts	2011-12-31	$140,733
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	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,237,302
Contract administrator fees	2011-12-31	$21,643
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$78,932
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	GRODSKY, CAPORRINO & KAUFMAN, P.C.
Accountancy firm EIN	2011-12-31	113242842
2010 : RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$409,494
Total unrealized appreciation/depreciation of assets	2010-12-31	$409,494
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	$1,166,391
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$210,009
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$210,009
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$756,897
Value of total assets at end of year	2010-12-31	$3,733,608
Value of total assets at beginning of year	2010-12-31	$2,777,226
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$756,897
Participant contributions at end of year	2010-12-31	$3,457
Participant contributions at beginning of year	2010-12-31	$5,082
Participant contributions at end of year	2010-12-31	$42,962
Participant contributions at beginning of year	2010-12-31	$39,266
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	$956,382
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,733,608
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$2,777,226
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 pooled separate accounts at end of year	2010-12-31	$3,485,031
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$2,597,477
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$202,158
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$135,401
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$210,009
Did the plan have assets held for investment	2010-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	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	GRODSKY, CAPORRINO & KAUFMAN, P.C.
Accountancy firm EIN	2010-12-31	113242842
2009 : RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING 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 RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN

2012: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
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: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING 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
2009: RODMAN & RENSHAW, LLC 401(K) PROFIT SHARING 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

METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )

Policy contract number

938942

Policy instance

Insurance contract or identification number	938942
Number of Individuals Covered	17
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $934
Total amount of fees paid to insurance company	USD $206
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?	No
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
Commission paid to Insurance Broker	USD $934
Insurance broker organization code?	3
Amount paid for insurance broker fees	206
Additional information about fees paid to insurance broker	THIRD PARTY ADMIN
Insurance broker name	CREATIVE PLAN DESIGN

METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )

Policy contract number

938942

Policy instance

Insurance contract or identification number	938942
Number of Individuals Covered	24
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $4,463
Total amount of fees paid to insurance company	USD $921
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

METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 )

Policy contract number

938942

Policy instance

Insurance contract or identification number	938942
Number of Individuals Covered	89
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $15,003
Total amount of fees paid to insurance company	USD $1,468
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

Potentially related plans

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Company Name:	RODMAN & RENSHAW, LLC
Employer identification number (EIN):	830378117
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	Florida Department of State Division of Corporations
Incorporation Date:	2011-06-28
Company Identification Number:	L11000075136
Legal Registered Office Address:	5550 GLADES ROAD BOCA RATON 33431

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2020-01-01
001	2018-01-01	JACK R. BROESAMLE	2019-09-20
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	JACK R. BROESAMLE	2015-07-14
001	2013-01-01	JACK R. BROESAMLE	2014-05-05
001	2012-01-01	JACK R. BROESAMLE
001	2011-01-01	CATHY RIVERA
001	2009-01-01	THOMAS PINOU