What public Form 5500 filings show about the Securities Compliance Management 401(k) plan — and how to find and check your own account.
Securities Compliance Management (EIN 54-2117435) reports SECURITIES COMPLIANCE MANAGEMENT 401(K) on its most recent Form 5500, with $2.0M in plan assets across 11 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 Securities Compliance Management filing — schedules, fees, and providers.
Securities Compliance Management’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 Securities Compliance ManagementHR for the recordkeeper’s name and login.
