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  5. MOSAIC FINANCIAL MARKETS LLC

MOSAIC FINANCIAL MARKETS LLC

Company Details

Name: MOSAIC FINANCIAL MARKETS LLC
Jurisdiction: New York
Legal type: FOREIGN LIMITED LIABILITY COMPANY
Status: Active
Date of registration: 20 Aug 2008 (16 years ago)
Entity Number: 3711247
ZIP code: 11201
County: Westchester
Place of Formation: Delaware
Address: 285 State Street, Brooklyn, NY, United States, 11201

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2023 262968989 2024-09-10 MOSAIC FINANCIAL MARKETS, LLC 3
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6466625569
Plan sponsor’s address 21 W 46TH ST., 16TH FLOOR, NEW YORK, NY, 10036

Signature of
Role Plan administrator
Date 2024-09-10
Name of individual signing LEE SACH
Valid signature Filed with authorized/valid electronic signature
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2022 262968989 2023-05-17 MOSAIC FINANCIAL MARKETS, LLC 4
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6466625569
Plan sponsor’s address 21 W 46TH ST., 16TH FLOOR, NEW YORK, NY, 10036

Signature of
Role Plan administrator
Date 2023-05-17
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2021 262968989 2022-08-26 MOSAIC FINANCIAL MARKETS, LLC 4
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6466625569
Plan sponsor’s address 21 W 46TH ST., 16TH FLOOR, NEW YORK, NY, 10036

Signature of
Role Plan administrator
Date 2022-08-26
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2020 262968989 2021-07-08 MOSAIC FINANCIAL MARKETS, LLC 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6466625569
Plan sponsor’s address 21 W 46TH ST., 16TH FLOOR, NEW YORK, NY, 10036

Signature of
Role Plan administrator
Date 2021-07-08
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2019 262968989 2020-08-21 MOSAIC FINANCIAL MARKETS, LLC 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6466625569
Plan sponsor’s address 21 W 46TH ST., 16TH FLOOR, NEW YORK, NY, 10036

Signature of
Role Plan administrator
Date 2020-08-21
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2018 262968989 2019-08-19 MOSAIC FINANCIAL MARKETS, LLC 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6466625569
Plan sponsor’s address 21 W 46TH ST., 16TH FLOOR, NEW YORK, NY, 10036

Signature of
Role Plan administrator
Date 2019-08-19
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2017 262968989 2018-06-01 MOSAIC FINANCIAL MARKETS, LLC 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6467067760
Plan sponsor’s address 21 W 46TH ST., 16TH FLOOR, NEW YORK, NY, 10036

Signature of
Role Plan administrator
Date 2018-06-01
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2016 262968989 2017-07-18 MOSAIC FINANCIAL MARKETS, LLC 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6467077760
Plan sponsor’s address 350 5TH AVENUE, 4316, NEW YORK, NY, 10118

Signature of
Role Plan administrator
Date 2017-07-18
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2015 262968989 2016-07-08 MOSAIC FINANCIAL MARKETS, LLC 7
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6467067760
Plan sponsor’s address 350 FIFTH AVENUE, 4316, NEW YORK, NY, 10118

Signature of
Role Plan administrator
Date 2016-07-08
Name of individual signing LEE SACH
Role Employer/plan sponsor
Date 2016-07-08
Name of individual signing LEE SACH
MOSAIC FINANCIAL MARKETS, LLC RETIREMENT TRUST 2014 262968989 2015-06-22 MOSAIC FINANCIAL MARKETS, LLC 7
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2012-09-26
Business code 541600
Sponsor’s telephone number 6467077760
Plan sponsor’s address 350 5TH AVENUE, 4316, NEW YORK, NY, 10118

Signature of
Role Plan administrator
Date 2015-06-22
Name of individual signing MARY KATE KUTNEY
Role Employer/plan sponsor
Date 2015-06-22
Name of individual signing MARY KATE KUTNEY

DOS Process Agent

Name Role Address
MOSAIC FINANCIAL MARKETS LLC DOS Process Agent 285 State Street, Brooklyn, NY, United States, 11201

Agent

Name Role Address
BUSINESS FILINGS INCORPORATED Agent 187 WOLF ROAD, SUITE 101, ALBANY, NY, 12205

History

Start date End date Type Value
2012-09-04 2024-08-10 Address 18 MOHEGAN ROAD, LARCHMONT, NY, 10538, USA (Type of address: Service of Process)
2010-09-02 2012-09-04 Address 187 WOLF ROAD / SUITE 101, ALBANY, NY, 12205, USA (Type of address: Service of Process)
2008-08-20 2010-09-02 Address 187 WOLF ROAD, SUITE 101, ALBANY, NY, 12205, USA (Type of address: Service of Process)
2008-08-20 2024-08-10 Address 187 WOLF ROAD, SUITE 101, ALBANY, NY, 12205, USA (Type of address: Registered Agent)

Filings

Filing Number Date Filed Type Effective Date
240810000051 2024-08-10 BIENNIAL STATEMENT 2024-08-10
220920000513 2022-09-20 BIENNIAL STATEMENT 2022-08-01
200807060200 2020-08-07 BIENNIAL STATEMENT 2020-08-01
180801006992 2018-08-01 BIENNIAL STATEMENT 2018-08-01
160804006236 2016-08-04 BIENNIAL STATEMENT 2016-08-01
150122006107 2015-01-22 BIENNIAL STATEMENT 2014-08-01
120904006305 2012-09-04 BIENNIAL STATEMENT 2012-08-01
100902002498 2010-09-02 BIENNIAL STATEMENT 2010-08-01
080820000580 2008-08-20 APPLICATION OF AUTHORITY 2008-08-20

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Date of last update: 17 Jan 2025

Sources: New York Secretary of State

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