FINRA 401(k) Plan
What public Form 5500 filings show about the FINRA 401(k) plan — and how to find and check your own account.
The FINRA 401(k) on its latest Form 5500
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.
Who runs the FINRA 401(k)?
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): VAUGHAN NELSON INVESTMENT MGMT, BLACKROCK INSTITUTIONAL TRUST CO, BANK OF NEW YORK MELLON, PACIFIC INVESTMENT MANAGEMENT, AON INVESTMENTS USA, AON CONSULTING.
How to check your FINRA 401(k)
- Log in to Vanguard’s participant portal (the site on your statements).
- Ask FINRA HR or benefits for the recordkeeper name and enrollment link.
- Left the company? Your balance stays in the plan until you roll it over — see how to find a lost 401(k).