· 2022–2024 · DOL EFAST2

GUOTAI JUNAN SECURITIES USA. INC. — GUOTAI JUNAN SECURITIES USA. INC. 401(K) PLAN, Form 5500 (2024)

Original filing (PDF)20250718090728NAL0002367218001

GUOTAI JUNAN SECURITIES USA. INC.

Form 5500-SF

FILING_RECEIVED

GUOTAI JUNAN SECURITIES USA. INC. 401(K) PLAN

401(k) retirement plan

Active participants

3

Accounts w/ balance

1

Plan assets (EOY)

$658

Net assets (EOY)

$658

Plan health score

Above-average plan

Directional indicator from public Form 5500 data — compliance & integrity, total plan cost, participant health and vendor stack, benchmarked against same-size peers. Not a fiduciary tool. Based on 70% of scoring inputs for this filing.

Compliance & integrity

100

Total plan cost

n/a

Plan health

17

Vendor & structure

100

Knocking points off

Low account-holder ratio — balance-holders per active participant in the bottom quartile of peers (11th percentile).

Helping the score

Cost not scored — no comparable Schedule H expense data for this cohort.

Decision-maker contacts

One unlock reveals every key decision-maker — plan signer, CFO, HR & Benefits — with verified email + LinkedIn for GUOTAI JUNAN SECURITIES USA. INC..

Plan sponsor

Name

GUOTAI JUNAN SECURITIES USA. INC.

EIN

38-3992180all filings

Address

630 FIFTH AVENUE - SUITE 2000 · NEW YORK, NY · 10111

Phone

(646) 678-3967

Industry

Finance & Insurancesee all

Plan administrator

Same as plan sponsor.

Plan characteristics

Plan number

001

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-07-18

Pension benefit codes

2A · Age/service weighted or new comparability

2E · Profit-sharing

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2K · 401(m) arrangement

2S · Automatic enrollment

2T · Default investment account (QDIA)

Service providers (Schedule C)

Small plans don't disclose service providers

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