What public Form 5500 filings show about the Finra 401(k) plan — and how to find and check your own account.
Finra (EIN 53-0088710) reports FINRA SAVINGS PLUS PLAN on its most recent Form 5500, with $2.5B in plan assets across 4,223 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 Finra filing — schedules, fees, and providers.
The plan’s recordkeeper — the firm that runs the website and statements where you check your balance, change contributions, and manage your account — is Vanguard, based on the plan’s Schedule C service-provider disclosure. That’s the login you use for your Finra 401(k).
Other service providers named on the filing (investment managers, trustees, auditors — not necessarily the recordkeeper): BANK OF NEW YORK MELLON, BLACKROCK INSTITUTIONAL TRUST CO, WELLINGTON TRUST NA, VAUGHAN NELSON INVESTMENT MGMT, PACIFIC INVESTMENT MANAGEMENT, AON INVESTMENTS USA.
