What public Form 5500 filings show about the Capital Markets USA LLC 401(k) plan — and how to find and check your own account.
Capital Markets USA LLC (EIN 88-1404893) reports CM3 401(K) PLAN on its most recent Form 5500, with $67K in plan assets across 3 active participants. Form 5500 is the annual report employers file with the U.S. Department of Labor for their retirement plans, and it’s public.
See the full Capital Markets USA LLC filing — schedules, fees, and providers.
Capital Markets USA LLC’s Form 5500 doesn’t separately disclose a recordkeeper we can confirm. The firms named on its Schedule C are service providers — which can include investment managers, trustees, and auditors, and are not necessarily the company that runs your account. To find who runs your 401(k), check your enrollment paperwork or a recent statement, or ask Capital Markets USA LLCHR for the recordkeeper’s name and login.
