Assets by plan
Share of aggregate retirement assets
Sponsor portfolioTH
FINRA
EIN 53-0088710financial servicesLatest filing 2024
Plans
5
Retirement
2
$3.02B assets
Welfare
3
$11.2M premiums
Participants
17,375
1700 K STREET, NW - WASHINGTON, DC 20006301-590-6500finra.orgLinkedIn1001-5000 employeesfinancial services
Retirement portfolio analytics
2 plans aggregated / $3.02B assets / 8,455 participantsRecordkeeper share
DC plan assets by Schedule C recordkeeper
82%top
- THE VANGUARD GROUP, INC.82%
- (Not disclosed)18%
Participants by plan
Active + retired + deferred vested
Benefits portfolio analytics
3 plans / $11.2M premiums / 4,703 covered livesCoverage by line
Premium dollars by benefit type (bundled lines overlap)
- Other$6.4M
- Life$6.1M
- Long-term disability$6.1M
- Health$4.8M
Carrier market share
Premium dollars by Schedule A carrier
55%top
- PRUDENTIAL INSURANCE COMPANY OF AMERICA55%
- KAISER FOUNDATION HEALTH PLAN INC23%
- AETNA LIFE INSURANCE COMPANY20%
- ARAG INSURANCE COMPANY2%
- UNITEDHEALTHCARE INSURANCE COMPANY0%
- +1 more
Broker market share
Schedule A broker compensation
99%top
- LOCKTON COMPANIES, LLC99%
- NFP INSURANCE SERVICES INC1%
Plan deep-dives
Per-plan teasers. The full analytics (fees vs peers, audit grade, trajectory, counterparties) live on each plan detail page.Retirement#003
FINRA SAVINGS PLUS PLAN
401k
Assets$2.49B
Participants6,201
Inside the deep dive
Fees vs peersAudit gradeAsset trajectoryContributionsSch C providers
Open plan deep dive
Retirement#001
FINRA EMPLOYEES RETIREMENT PLAN
TraditionalDB
Assets$535.0M
Participants2,254
Inside the deep dive
Fees vs peersAudit gradeAsset trajectoryContributionsSch C providers
Open plan deep dive
Welfare#507
FINRA BENEFIT OPTIONS PROGRAM
Mixed - PRUDENTIAL INSURANCE COMPANY OF AMERICA
Premiums$9.0M
Covered lives4,289
Inside the deep dive
Premium breakdownCarriersBrokersCoverage stats
Open plan deep dive
Welfare#508
FINRA RETIREE MEDICAL PLAN
Fully Insured - AETNA LIFE INSURANCE CO.
Premiums$2.2M
Covered lives414
Inside the deep dive
Premium breakdownCarriersBrokersCoverage stats
Open plan deep dive
Welfare#509
FINRA SEVERANCE PAY PLAN
Self Funded
Premiums$0
Covered lives0
Inside the deep dive
Premium breakdownCarriersBrokersCoverage stats
Open plan deep dive
Retirement plans2
| Plan # | Name | Type | Assets | Participants | Latest year | |
|---|---|---|---|---|---|---|
| 003 | FINRA SAVINGS PLUS PLAN | 401k | $2.49B | 6,201 | 2024 | |
| 001 | FINRA EMPLOYEES RETIREMENT PLAN | TraditionalDB | $535.0M | 2,254 | 2024 |
Welfare plans3
| Plan # | Name | Funding | Carrier | Premiums | Covered | Latest year | |
|---|---|---|---|---|---|---|---|
| 507 | FINRA BENEFIT OPTIONS PROGRAM | Mixed | PRUDENTIAL INSURANCE COMPANY OF AMERICA | $9.0M | 4,289 | 2024 | |
| 508 | FINRA RETIREE MEDICAL PLAN | Fully Insured | AETNA LIFE INSURANCE CO. | $2.2M | 414 | 2024 | |
| 509 | FINRA SEVERANCE PAY PLAN | Self Funded | - | $0 | 0 | 2024 |
Retirement plans
Welfare plans