BROCK & ASSOCIATES BRANCH OF AMERIPRISE 401(K) PLAN

[ EIN: 47-2593867 | Plan No. 003 ]

The BROCK & ASSOCIATES BRANCH OF AMERIPRISE 401(K) PLAN plan, sponsored by BROCK & ASSOCIATES A FINANCIAL ADVISORY BRANCH OF AMERIPRISE FINANCIAL, is listed in Form 5500 data as a 401(k) plan. The filing reports 15 participants and total assets of $2,153,656 for plan year 2020.

Form 5500 filings provide transparency into participant counts, financial structure, and compliance reporting.

---

Plan Sponsor: BROCK & ASSOCIATES A FINANCIAL ADVISORY BRANCH OF AMERIPRISE FINANCIAL

Location: 5018 E. 68TH ST., TULSA, OK 74136

EIN: 472593867

Plan Number: 003

Plan Year: 2020

Plan Size: Small Plan

Plan Entity Type: Defined Contribution

Plan Type: 401(k)

Participants: 15

Total Assets: $2,153,656

---