401k Plan data: SCOTTRADE, INCORPORATED 401(K) PLAN plan

SCOTTRADE, INCORPORATED 401(K) PLAN 401k Plan overview

Plan Name	SCOTTRADE, INCORPORATED 401(K) PLAN
Plan identification number	001

SCOTTRADE, INCORPORATED 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SCOTTRADE, INC. has sponsored the creation of one or more 401k plans.

Company Name: SCOTTRADE, INC.

Employer identification number (EIN): 860381976

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SCOTTRADE, INCORPORATED 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 CARLA ULMER
001 2016-01-01 CARLA ULMER
001 2015-01-01 CATE BORTER
001 2014-01-01 JACKIE KRIGBAUM
001 2013-01-01 JACKIE KRIGBAUM JACKIE KRIGBAUM 2014-10-13
001 2012-01-01 JACKIE KRIGBAUM
001 2011-01-01 JACKIE KRIGBAUM
001 2010-01-01 JACKIE KRIGBAUM JACKIE KRIGBAUM 2011-10-14
001 2009-01-01 JACKIE KRIGBAUM
001 2009-01-01 JACK MCENERY JACK MCENERY 2010-10-14
001 2009-01-01 JACK MCENERY

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	CARLA ULMER
001	2016-01-01	CARLA ULMER
001	2015-01-01	CATE BORTER
001	2014-01-01	JACKIE KRIGBAUM
001	2013-01-01	JACKIE KRIGBAUM	JACKIE KRIGBAUM	2014-10-13
001	2012-01-01	JACKIE KRIGBAUM
001	2011-01-01	JACKIE KRIGBAUM
001	2010-01-01	JACKIE KRIGBAUM	JACKIE KRIGBAUM	2011-10-14
001	2009-01-01	JACKIE KRIGBAUM
001	2009-01-01	JACK MCENERY	JACK MCENERY	2010-10-14
001	2009-01-01	JACK MCENERY

Plan Statistics for SCOTTRADE, INCORPORATED 401(K) PLAN

401k plan membership statisitcs for SCOTTRADE, INCORPORATED 401(K) PLAN

Measure Date Value
2017: SCOTTRADE, INCORPORATED 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 4,313
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 201
2016: SCOTTRADE, INCORPORATED 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 4,364
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 3,608
Number of retired or separated participants receiving benefits 2016-01-01 2
Number of other retired or separated participants entitled to future benefits 2016-01-01 697
Total of all active and inactive participants 2016-01-01 4,307
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 6
Total participants 2016-01-01 4,313
Number of participants with account balances 2016-01-01 4,171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 289
2015: SCOTTRADE, INCORPORATED 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4,201
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 3,585
Number of retired or separated participants receiving benefits 2015-01-01 3
Number of other retired or separated participants entitled to future benefits 2015-01-01 732
Total of all active and inactive participants 2015-01-01 4,320
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 6
Total participants 2015-01-01 4,326
Number of participants with account balances 2015-01-01 4,154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 250
2014: SCOTTRADE, INCORPORATED 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 3,933
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 3,456
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 672
Total of all active and inactive participants 2014-01-01 4,129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 2
Total participants 2014-01-01 4,131
Number of participants with account balances 2014-01-01 3,959
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 31
2013: SCOTTRADE, INCORPORATED 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 3,786
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 3,288
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 584
Total of all active and inactive participants 2013-01-01 3,872
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 3,872
Number of participants with account balances 2013-01-01 3,689
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 253
2012: SCOTTRADE, INCORPORATED 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 3,507
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 3,306
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 480
Total of all active and inactive participants 2012-01-01 3,786
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 3,786
Number of participants with account balances 2012-01-01 3,574
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 186
2011: SCOTTRADE, INCORPORATED 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 3,189
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 3,149
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 358
Total of all active and inactive participants 2011-01-01 3,507
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 3,507
Number of participants with account balances 2011-01-01 3,304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 165
2010: SCOTTRADE, INCORPORATED 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 2,681
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 2,913
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 276
Total of all active and inactive participants 2010-01-01 3,189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 3,189
Number of participants with account balances 2010-01-01 2,975
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 114
2009: SCOTTRADE, INCORPORATED 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 2,207
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2,471
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 210
Total of all active and inactive participants 2009-01-01 2,681
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2,681
Number of participants with account balances 2009-01-01 2,472
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 53

Measure	Date	Value
2017: SCOTTRADE, INCORPORATED 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	4,313
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	201
2016: SCOTTRADE, INCORPORATED 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	4,364
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	3,608
Number of retired or separated participants receiving benefits	2016-01-01	2
Number of other retired or separated participants entitled to future benefits	2016-01-01	697
Total of all active and inactive participants	2016-01-01	4,307
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	6
Total participants	2016-01-01	4,313
Number of participants with account balances	2016-01-01	4,171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	289
2015: SCOTTRADE, INCORPORATED 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4,201
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	3,585
Number of retired or separated participants receiving benefits	2015-01-01	3
Number of other retired or separated participants entitled to future benefits	2015-01-01	732
Total of all active and inactive participants	2015-01-01	4,320
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	6
Total participants	2015-01-01	4,326
Number of participants with account balances	2015-01-01	4,154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	250
2014: SCOTTRADE, INCORPORATED 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	3,933
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	3,456
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	672
Total of all active and inactive participants	2014-01-01	4,129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	2
Total participants	2014-01-01	4,131
Number of participants with account balances	2014-01-01	3,959
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	31
2013: SCOTTRADE, INCORPORATED 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	3,786
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	3,288
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	584
Total of all active and inactive participants	2013-01-01	3,872
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	3,872
Number of participants with account balances	2013-01-01	3,689
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	253
2012: SCOTTRADE, INCORPORATED 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	3,507
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	3,306
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	480
Total of all active and inactive participants	2012-01-01	3,786
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	3,786
Number of participants with account balances	2012-01-01	3,574
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	186
2011: SCOTTRADE, INCORPORATED 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	3,189
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	3,149
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	358
Total of all active and inactive participants	2011-01-01	3,507
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	3,507
Number of participants with account balances	2011-01-01	3,304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	165
2010: SCOTTRADE, INCORPORATED 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	2,681
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	2,913
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	276
Total of all active and inactive participants	2010-01-01	3,189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	3,189
Number of participants with account balances	2010-01-01	2,975
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	114
2009: SCOTTRADE, INCORPORATED 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	2,207
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2,471
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	210
Total of all active and inactive participants	2009-01-01	2,681
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2,681
Number of participants with account balances	2009-01-01	2,472
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	53

Financial Data on SCOTTRADE, INCORPORATED 401(K) PLAN

Measure	Date	Value
2017 : SCOTTRADE, INCORPORATED 401(K) PLAN 2017 401k financial data
Total transfer of assets from this plan	2017-12-31	$350,755,085
Total income from all sources (including contributions)	2017-12-31	$90,506,493
Total of all expenses incurred	2017-12-31	$25,921,235
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$25,508,072
Value of total corrective distributions	2017-12-31	$1,713
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$45,163,757
Value of total assets at end of year	2017-12-31	$0
Value of total assets at beginning of year	2017-12-31	$286,169,827
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$411,450
Total interest from all sources	2017-12-31	$276,280
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$4,894,267
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$4,894,267
Administrative expenses professional fees incurred	2017-12-31	$13,500
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$30,841,593
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$6,326,072
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$1,116,566
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$6,800
Administrative expenses (other) incurred	2017-12-31	$327,950
Total non interest bearing cash at end of year	2017-12-31	$0
Total non interest bearing cash at beginning of year	2017-12-31	$43,602
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	$64,585,258
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$286,169,827
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$70,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$229,720,997
Value of interest in pooled separate accounts at end of year	2017-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$37,106,484
Interest on participant loans	2017-12-31	$276,037
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$704,724
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$704,724
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$243
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$39,433,934
Net investment gain/loss from pooled separate accounts	2017-12-31	$738,255
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	$13,205,598
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$12,261,148
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$25,508,072
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	Yes
Did the plan have assets held for investment	2017-12-31	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	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	Yes
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	BROWN SMITH WALLACE, LLP
Accountancy firm EIN	2017-12-31	431001367
2016 : SCOTTRADE, INCORPORATED 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$66,615,935
Total of all expenses incurred	2016-12-31	$22,808,917
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$22,225,856
Value of total corrective distributions	2016-12-31	$6,698
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$44,267,676
Value of total assets at end of year	2016-12-31	$286,169,827
Value of total assets at beginning of year	2016-12-31	$242,362,809
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$576,363
Total interest from all sources	2016-12-31	$258,310
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$3,988,731
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	$3,988,731
Administrative expenses professional fees incurred	2016-12-31	$13,000
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$27,929,946
Participant contributions at end of year	2016-12-31	$6,326,072
Participant contributions at beginning of year	2016-12-31	$5,705,870
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$4,076,581
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$6,800
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$6,638
Administrative expenses (other) incurred	2016-12-31	$468,363
Total non interest bearing cash at end of year	2016-12-31	$43,602
Total non interest bearing cash at beginning of year	2016-12-31	$12,973
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	$43,807,018
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$286,169,827
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$242,362,809
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$95,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$229,720,997
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$195,430,771
Value of interest in pooled separate accounts at end of year	2016-12-31	$37,106,484
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$29,473,363
Interest on participant loans	2016-12-31	$258,310
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$704,724
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$519,497
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$519,497
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$17,518,086
Net investment gain/loss from pooled separate accounts	2016-12-31	$583,132
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	Yes
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	$12,261,149
Employer contributions (assets) at end of year	2016-12-31	$12,261,148
Employer contributions (assets) at beginning of year	2016-12-31	$11,213,697
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$22,225,856
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	2016-12-31	No
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	BROWN SMITH WALLACE, LLP
Accountancy firm EIN	2016-12-31	431001367
2015 : SCOTTRADE, INCORPORATED 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$38,469,648
Total of all expenses incurred	2015-12-31	$21,360,979
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$20,895,901
Expenses. Certain deemed distributions of participant loans	2015-12-31	$24,141
Value of total corrective distributions	2015-12-31	$13,876
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$40,793,240
Value of total assets at end of year	2015-12-31	$242,362,809
Value of total assets at beginning of year	2015-12-31	$225,254,140
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$427,061
Total interest from all sources	2015-12-31	$228,985
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$3,474,131
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	$3,474,131
Administrative expenses professional fees incurred	2015-12-31	$16,300
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$20,000,000
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	$26,661,342
Participant contributions at end of year	2015-12-31	$5,705,870
Participant contributions at beginning of year	2015-12-31	$5,027,957
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$3,280,071
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$6,638
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$9,420
Administrative expenses (other) incurred	2015-12-31	$314,261
Total non interest bearing cash at end of year	2015-12-31	$12,973
Total non interest bearing cash at beginning of year	2015-12-31	$39,014
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	$17,108,669
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$242,362,809
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$225,254,140
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$96,500
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$195,430,771
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$181,550,582
Value of interest in pooled separate accounts at end of year	2015-12-31	$29,473,363
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$27,518,979
Interest on participant loans	2015-12-31	$228,953
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$519,497
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$397,249
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$397,249
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$32
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-6,517,118
Net investment gain/loss from pooled separate accounts	2015-12-31	$490,410
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	Yes
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	$10,851,827
Employer contributions (assets) at end of year	2015-12-31	$11,213,697
Employer contributions (assets) at beginning of year	2015-12-31	$10,710,939
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$20,895,901
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	2015-12-31	No
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	BROWN SMITH WALLACE LLC
Accountancy firm EIN	2015-12-31	431001367
2014 : SCOTTRADE, INCORPORATED 401(K) PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$50,661,040
Total of all expenses incurred	2014-12-31	$19,049,776
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$18,797,362
Expenses. Certain deemed distributions of participant loans	2014-12-31	$80,506
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$37,897,150
Value of total assets at end of year	2014-12-31	$225,254,140
Value of total assets at beginning of year	2014-12-31	$193,642,876
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$171,908
Total interest from all sources	2014-12-31	$204,255
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$2,824,570
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	$2,824,570
Administrative expenses professional fees incurred	2014-12-31	$7,500
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	Yes
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	$24,279,071
Participant contributions at end of year	2014-12-31	$5,027,957
Participant contributions at beginning of year	2014-12-31	$4,727,541
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$2,658,691
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$9,420
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$146,908
Total non interest bearing cash at end of year	2014-12-31	$39,014
Total non interest bearing cash at beginning of year	2014-12-31	$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	2014-12-31	No
Value of net income/loss	2014-12-31	$31,611,264
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$225,254,140
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$193,642,876
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$17,500
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$181,550,582
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$122,295,853
Value of interest in pooled separate accounts at end of year	2014-12-31	$27,518,979
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$204,247
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$48,550,065
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$397,249
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$9,437,586
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$9,437,586
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$8
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$7,533,041
Net investment gain or loss from common/collective trusts	2014-12-31	$2,202,024
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	$10,959,388
Employer contributions (assets) at end of year	2014-12-31	$10,710,939
Employer contributions (assets) at beginning of year	2014-12-31	$8,631,831
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$18,797,362
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	2014-12-31	Yes
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	BROWN SMITH WALLACE LLC
Accountancy firm EIN	2014-12-31	431001367
2013 : SCOTTRADE, INCORPORATED 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	$56,319,655
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$13,556,607
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$13,465,831
Expenses. Certain deemed distributions of participant loans	2013-12-31	$51,352
Value of total corrective distributions	2013-12-31	$4,131
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$29,958,327
Value of total assets at end of year	2013-12-31	$193,642,876
Value of total assets at beginning of year	2013-12-31	$150,879,828
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$35,293
Total interest from all sources	2013-12-31	$196,756
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$5,717,617
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	$5,717,617
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$20,099,155
Participant contributions at end of year	2013-12-31	$4,727,541
Participant contributions at beginning of year	2013-12-31	$4,593,670
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,227,216
Other income not declared elsewhere	2013-12-31	$51,673
Administrative expenses (other) incurred	2013-12-31	$35,293
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	$42,763,048
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$193,642,876
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$150,879,828
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	$122,295,853
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$90,805,385
Interest on participant loans	2013-12-31	$196,741
Value of interest in common/collective trusts at end of year	2013-12-31	$48,550,065
Value of interest in common/collective trusts at beginning of year	2013-12-31	$40,031,960
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$9,437,586
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$7,788,644
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$7,788,644
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$15
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$13,889,181
Net investment gain or loss from common/collective trusts	2013-12-31	$6,506,101
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	$8,631,956
Employer contributions (assets) at end of year	2013-12-31	$8,631,831
Employer contributions (assets) at beginning of year	2013-12-31	$7,660,169
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$13,465,831
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	BROWN, SMITH WALLACE LLC
Accountancy firm EIN	2013-12-31	431001367
2012 : SCOTTRADE, INCORPORATED 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	$40,138,788
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$8,050,633
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$7,975,098
Expenses. Certain deemed distributions of participant loans	2012-12-31	$45,827
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$26,513,301
Value of total assets at end of year	2012-12-31	$150,879,828
Value of total assets at beginning of year	2012-12-31	$118,791,673
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$29,708
Total interest from all sources	2012-12-31	$178,788
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$2,960,901
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	$2,960,901
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	$17,448,825
Participant contributions at end of year	2012-12-31	$4,593,670
Participant contributions at beginning of year	2012-12-31	$3,816,431
Participant contributions at beginning of year	2012-12-31	$521,699
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$1,403,843
Other income not declared elsewhere	2012-12-31	$14,158
Administrative expenses (other) incurred	2012-12-31	$29,708
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	$32,088,155
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$150,879,828
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$118,791,673
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	$90,805,385
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$68,643,851
Interest on participant loans	2012-12-31	$178,788
Value of interest in common/collective trusts at end of year	2012-12-31	$40,031,960
Value of interest in common/collective trusts at beginning of year	2012-12-31	$32,938,096
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$7,788,644
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$5,731,711
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$5,731,711
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$7,532,718
Net investment gain or loss from common/collective trusts	2012-12-31	$2,938,922
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	$7,660,633
Employer contributions (assets) at end of year	2012-12-31	$7,660,169
Employer contributions (assets) at beginning of year	2012-12-31	$7,139,885
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$7,975,098
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	BROWN, SMITH WALLACE LLC
Accountancy firm EIN	2012-12-31	431001367
2011 : SCOTTRADE, INCORPORATED 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$3,503,507
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	$21,038,624
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$6,635,837
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$6,587,551
Expenses. Certain deemed distributions of participant loans	2011-12-31	$22,547
Value of total corrective distributions	2011-12-31	$894
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$24,312,246
Value of total assets at end of year	2011-12-31	$118,791,673
Value of total assets at beginning of year	2011-12-31	$100,885,379
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$24,845
Total interest from all sources	2011-12-31	$149,645
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$1,201,736
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	$1,201,736
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	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	$16,123,105
Participant contributions at end of year	2011-12-31	$3,816,431
Participant contributions at beginning of year	2011-12-31	$2,940,976
Participant contributions at end of year	2011-12-31	$521,699
Participant contributions at beginning of year	2011-12-31	$461,651
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,044,770
Other income not declared elsewhere	2011-12-31	$5,679
Administrative expenses (other) incurred	2011-12-31	$24,845
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	$14,402,787
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$118,791,673
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$100,885,379
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	$68,643,851
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$57,501,495
Interest on participant loans	2011-12-31	$149,645
Value of interest in common/collective trusts at end of year	2011-12-31	$32,938,096
Value of interest in common/collective trusts at beginning of year	2011-12-31	$29,471,446
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$5,731,711
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$4,504,396
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$4,504,396
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-4,902,807
Net investment gain or loss from common/collective trusts	2011-12-31	$272,125
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	$7,144,371
Employer contributions (assets) at end of year	2011-12-31	$7,139,885
Employer contributions (assets) at beginning of year	2011-12-31	$6,005,415
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$6,587,551
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	BROWN, SMITH WALLACE LLC
Accountancy firm EIN	2011-12-31	431001367
2010 : SCOTTRADE, INCORPORATED 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	$30,329,504
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$3,641,025
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$3,614,811
Expenses. Certain deemed distributions of participant loans	2010-12-31	$3,376
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$20,249,210
Value of total assets at end of year	2010-12-31	$100,885,379
Value of total assets at beginning of year	2010-12-31	$74,196,900
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$22,838
Total interest from all sources	2010-12-31	$129,361
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$748,272
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	$748,272
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	$13,364,045
Participant contributions at end of year	2010-12-31	$2,940,976
Participant contributions at beginning of year	2010-12-31	$2,430,205
Participant contributions at end of year	2010-12-31	$461,651
Participant contributions at beginning of year	2010-12-31	$365,369
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$879,750
Other income not declared elsewhere	2010-12-31	$20
Administrative expenses (other) incurred	2010-12-31	$22,838
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	$26,688,479
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$100,885,379
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$74,196,900
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	$57,501,495
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$39,532,926
Interest on participant loans	2010-12-31	$129,361
Value of interest in common/collective trusts at end of year	2010-12-31	$29,471,446
Value of interest in common/collective trusts at beginning of year	2010-12-31	$23,795,902
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$4,504,396
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$2,728,924
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$2,728,924
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$7,413,265
Net investment gain or loss from common/collective trusts	2010-12-31	$1,789,376
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	$6,005,415
Employer contributions (assets) at end of year	2010-12-31	$6,005,415
Employer contributions (assets) at beginning of year	2010-12-31	$5,343,574
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$3,614,811
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	BROWN, SMITH WALLACE LLC
Accountancy firm EIN	2010-12-31	431001367
2009 : SCOTTRADE, INCORPORATED 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 SCOTTRADE, INCORPORATED 401(K) PLAN

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

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31635

Policy instance

Insurance contract or identification number	GA31635
Number of Individuals Covered	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31635

Policy instance

Insurance contract or identification number	GA31635
Number of Individuals Covered	4154
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )

Policy contract number

GA31635

Policy instance

Insurance contract or identification number	GA31635
Number of Individuals Covered	3959
Insurance policy start date	2014-09-30
Insurance policy end date	2014-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	SCOTTRADE, INC.
Employer identification number (EIN):	860381976
NAIC Classification:	523120
NAIC Description:	Securities Brokerage