UBS FINANCIAL SERVICES INC. 401(k) Plan
What public Form 5500 filings show about the UBS FINANCIAL SERVICES INC. 401(k) plan — and how to find and check your own account.
The UBS FINANCIAL SERVICES INC. 401(k) on its latest Form 5500
UBS FINANCIAL SERVICES INC. (EIN 13-2638166) reports UBS FINANCIAL SERVICES INC OF PUERTO RICO SAVINGS PLUS PLAN TRUST on its most recent Form 5500, with $57.3M in plan assets across 139 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 UBS FINANCIAL SERVICES INC. filing — schedules, fees, and providers.
Who runs the UBS FINANCIAL SERVICES INC. 401(k)?
UBS FINANCIAL SERVICES INC.’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 UBS FINANCIAL SERVICES INC.HR for the recordkeeper’s name and login.
Other service providers named on the filing (investment managers, trustees, auditors — not necessarily the recordkeeper): EAGLE CAPITAL MANAGEMENT, ALIGHT SOLUTIONS, CAPITAL GROUP PRIVATE CLIENT SERV, INVESCO TRUST, LEGAL & GENERAL INVESTMENT, ALIGHT FINANCIAL SOLUTIONS.
How to check your UBS FINANCIAL SERVICES INC. 401(k)
- Log in to the plan’s recordkeeper portal (the site on your statements).
- Ask UBS FINANCIAL SERVICES INC. 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).