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  5. SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION, INC.

SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION, INC.

Company Details

Name: SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION, INC.
Jurisdiction: New York
Legal type: FOREIGN NOT-FOR-PROFIT CORPORATION
Status: Active
Date of registration: 27 Apr 2007 (18 years ago)
Entity Number: 3509558
ZIP code: 10005
County: New York
Place of Formation: Delaware
Address: 28 LIBERTY ST., NEW YORK, NY, United States, 10005

Commercial and government entity program

CAGE number Status Type Established CAGE Update Date CAGE Expiration SAM Expiration
5XPU4 Obsolete Non-Manufacturer 2010-03-18 2024-03-02 2022-02-15 No data

Contact Information
POC NAM K KIM
Phone +1 212-313-1371
Address 120 BROADWAY FL 35, NEW YORK, NY, 10271 3599, UNITED STATES

Ownership of Offeror Information
Highest Level Owner Information not Available
Immediate Level Owner Information not Available
List of Offerors (0) Information not Available

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIAT ION EMPLOYEE BENEFIT PLANS 2011 320178959 2012-10-15 SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION 155
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2001-01-01
Business code 813000
Sponsor’s telephone number 2123131269
Plan sponsor’s mailing address 120 BROADWAY, 35TH FLOOR, NEW YORK, NY, 102710080
Plan sponsor’s address 120 BROADWAY, 35TH FLOOR, NEW YORK, NY, 102710080

Plan administrator’s name and address
Administrator’s EIN 320178959
Plan administrator’s name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Plan administrator’s address 120 BROADWAY, 35TH FLOOR, NEW YORK, NY, 102710080
Administrator’s telephone number 2123131269

Number of participants as of the end of the plan year
Active participants 173

Signature of
Role Plan administrator
Date 2012-10-15
Name of individual signing DARRAH RAFFERTY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2012-10-15
Name of individual signing DARRAH RAFFERTY
Valid signature Filed with authorized/valid electronic signature
GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2010 320178959 2012-05-15 SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION 189
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1972-08-01
Business code 813000
Sponsor’s telephone number 2123131218
Plan sponsor’s mailing address 120 BROADWAY, NEW YORK, NY, 10271
Plan sponsor’s address 35TH FLOOR, NEW YORK, NY, 10271

Plan administrator’s name and address
Administrator’s EIN 320178959
Plan administrator’s name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Plan administrator’s address 120 BROADWAY, NEW YORK, NY, 10271
Administrator’s telephone number 2123131218

Number of participants as of the end of the plan year
Active participants 67
Retired or separated participants receiving benefits 28
Other retired or separated participants entitled to future benefits 79
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 5
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 1

Signature of
Role Plan administrator
Date 2012-05-15
Name of individual signing DARRAH RAFFERTY
Valid signature Filed with authorized/valid electronic signature
GROUP PENSION PLAN FOR EMPLOYEES OF SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION PLAN 001 2010 320178959 2012-05-09 SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION 189
Three-digit plan number (PN) 001
Effective date of plan 1972-08-01
Business code 813000
Sponsor’s telephone number 2123131218
Plan sponsor’s mailing address 120 BROADWAY, NEW YORK, NY, 10271
Plan sponsor’s address 35TH FLOOR, NEW YORK, NY, 10271

Plan administrator’s name and address
Administrator’s EIN 320178959
Plan administrator’s name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Plan administrator’s address 120 BROADWAY, NEW YORK, NY, 10271
Administrator’s telephone number 2123131218

Number of participants as of the end of the plan year
Active participants 67
Retired or separated participants receiving benefits 28
Other retired or separated participants entitled to future benefits 79
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits 5
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 1

Signature of
Role Plan administrator
Date 2012-04-23
Name of individual signing DARRAH RAFFERTY
Valid signature Filed with authorized/valid electronic signature
SECURITIES INDUSTRY AND FINANCIAL MARKETS SAVINGS PLAN 2010 320178959 2011-10-14 SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION 305
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1981-01-01
Business code 813000
Sponsor’s telephone number 2123131200
Plan sponsor’s mailing address 120 BROADWAY, NEW YORK, NY, 10271
Plan sponsor’s address 35TH FLOOR, NEW YORK, NY, 10271

Plan administrator’s name and address
Administrator’s EIN 320178959
Plan administrator’s name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Plan administrator’s address 120 BROADWAY, NEW YORK, NY, 10271
Administrator’s telephone number 2123131200

Number of participants as of the end of the plan year
Active participants 153
Retired or separated participants receiving benefits 1
Other retired or separated participants entitled to future benefits 176
Number of participants with account balances as of the end of the plan year 316
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 25

Signature of
Role Plan administrator
Date 2011-10-14
Name of individual signing DARRAH RAFFERTY
Valid signature Filed with authorized/valid electronic signature
SECURITIES INDUSTRY AND FINANCIAL MARKETS SAVINGS PLAN 2010 320178959 2011-10-14 SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION 305
Three-digit plan number (PN) 002
Effective date of plan 1981-01-01
Business code 813000
Sponsor’s telephone number 2123131200
Plan sponsor’s mailing address 120 BROADWAY, NEW YORK, NY, 10271
Plan sponsor’s address 35TH FLOOR, NEW YORK, NY, 10271

Plan administrator’s name and address
Administrator’s EIN 320178959
Plan administrator’s name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Plan administrator’s address 120 BROADWAY, NEW YORK, NY, 10271
Administrator’s telephone number 2123131200

Number of participants as of the end of the plan year
Active participants 153
Retired or separated participants receiving benefits 1
Other retired or separated participants entitled to future benefits 176
Number of participants with account balances as of the end of the plan year 316
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 25

Signature of
Role Plan administrator
Date 2011-10-13
Name of individual signing DARRAH RAFFERTY
Valid signature Filed with authorized/valid electronic signature
SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIAT ION EMPLOYEE BENEFIT PLANS 2010 320178959 2011-08-31 SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION 203
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2001-01-01
Business code 813000
Sponsor’s telephone number 2123131269
Plan sponsor’s mailing address 120 BROADWAY, 35TH FLOOR, NEW YORK, NY, 102710080
Plan sponsor’s address 120 BROADWAY, 35TH FLOOR, NEW YORK, NY, 102710080

Plan administrator’s name and address
Administrator’s EIN 320178959
Plan administrator’s name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
Plan administrator’s address 120 BROADWAY, 35TH FLOOR, NEW YORK, NY, 102710080
Administrator’s telephone number 2123131269

Number of participants as of the end of the plan year
Active participants 196

Signature of
Role Plan administrator
Date 2011-08-31
Name of individual signing DARRAH RAFFERTY
Valid signature Filed with authorized/valid electronic signature

DOS Process Agent

Name Role Address
C T CORPORATION SYSTEM DOS Process Agent 28 LIBERTY ST., NEW YORK, NY, United States, 10005

History

Start date End date Type Value
2007-04-27 2019-01-28 Address 111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
SR-46782 2019-01-28 CERTIFICATE OF CHANGE 2019-01-28
070427000797 2007-04-27 APPLICATION OF AUTHORITY 2007-04-27

Tax Exempt

EIN Type of Organization Exempt Organization Status Address Ruling Date
32-0178959 Corporation Unconditional Exemption 140 BROADWAY 35TH FLOOR, NEW YORK, NY, 10005-1133 2008-04
In Care of Name % DARRAH RAFFERTY
Group Exemption Number 0000
Subsection Board of Trade, Business League, Chamber of Commerce, Real Estate Board
Affiliation Independent - This code is used if the organization is an independent organization or an independent auxiliary (i.e., not affiliated with a National, Regional, or Geographic grouping of organizations).
Classification Government Instrumentality, Title-Holding Corporation, Charitable Organization, Agricultural Organization, Board of Trade, Pleasure, Recreational, or Social Club, Fraternal Beneficiary Society, Order or Association, Voluntary Employees' Beneficiary Association (Non-Govt. Emps.), Domestic Fraternal Societies and Associations, Teachers Retirement Fund Assoc., Benevolent Life Insurance Assoc., Burial Association, Credit Union, Mutual Insurance Company or Assoc. Other Than Life or Marine, Corp. Financing Crop Operations, Supplemental Unemployment Compensation Trust or Plan, Employee Funded Pension Trust (Created Before 6/25/59), Post or Organization of War Veterans, Legal Service Organization, Black Lung Trust, Multiemployer Pension Plan, Veterans Assoc. Formed Prior to 1880, Trust Described in Sect. 4049 of ERISA, Title Holding Co. for Pensions, etc., State-Sponsored High Risk Health Insurance Organizations, State-Sponsored Workers' Compensation Reinsurance, ACA 1322 Qualified Nonprofit Health Insurance Issuers, Apostolic and Religious Org. (501(d)), Cooperative Hospital Service Organization (501(e)), Cooperative Service Organization of Operating Educational Organization (501(f)), Child Care Organization (501(k)), Charitable Risk Pool, Qualified State-Sponsored Tuition Program, 4947(a)(1) - Private Foundation (Form 990PF Filer)
Deductibility Contributions are not deductible.
Foundation All organizations except 501(c)(3)
Tax Period 2023-10
Asset 50,000,000 to greater
Income 50,000,000 to greater
Filing Requirement 990 (all other) or 990EZ return
PF Filing Requirement No 990-PF return
Accounting Period Oct
Asset Amount 72929787
Income Amount 60293967
Form 990 Revenue Amount 60293967
National Taxonomy of Exempt Entities Community Improvement, Capacity Building: Business and Industry
Sort Name -

Copies of Returns (990, 990-EZ, 990-PF, 990-T)
Organization Name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
EIN 32-0178959
Tax Period 202110
Filing Type E
Return Type 990O
File View File
Organization Name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
EIN 32-0178959
Tax Period 201910
Filing Type E
Return Type 990O
File View File
Organization Name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
EIN 32-0178959
Tax Period 201810
Filing Type E
Return Type 990O
File View File
Organization Name SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION
EIN 32-0178959
Tax Period 201610
Filing Type E
Return Type 990O
File View File

Related by officers

C T CORPORATION SYSTEM

BOFA MERRILL LYNCH ASSET HOLDINGS, INC. " 21" BRANDS, INC. "ADP TOTALSOURCE SERVICES, INC." ARLON GROUP LLC "LA COMUNIDAD" CORPORATION "TREND LABORATORIES, INC." (800) 777-CLUB. ++INTEGRATED TACTICS, LLC +42 W 35TH HOLDINGS LLC

Related by address

28 LIBERTY ST., NEW YORK, NY, United States, 10005

BOFA MERRILL LYNCH ASSET HOLDINGS, INC. " 21" BRANDS, INC. "DISTRICT ENERGY MIDWEST SUB LLC" "TREND LABORATORIES, INC." $MART CLUB, LLC 'SUP MAGAZINE INC. (212) VENTURES, LLC (800) 777-CLUB. (DIS)ABLED VISIONARIES, INC. ++INTEGRATED TACTICS, LLC

Date of last update: 28 Mar 2025

Sources: New York Secretary of State

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