Form 5500 · Employee benefit plan · WASHINGTON, DC
FINRA
FINRA of WASHINGTON, DC files a Form 5500 with the U.S. Department of Labor disclosing its employee benefit plan. Its broker of record is LOCKTON COMPANIES, LLC NE SERIES. Coverage is written through PRUDENTIAL INSURANCE COMPANY OF AMERICA and 7 other carriers. The plan's most recent policy period ended in December.
Sourced from U.S. DOL EFAST2 Form 5500 · EIN 53-0088710 · plan 507 · as of Jul 2026
Schedule A insurance contracts
| Carrier | Benefits | Covered | Renews | Commission |
|---|---|---|---|---|
| PRUDENTIAL INSURANCE COMPANY OF AMERICA | Life, Disability | 4,289 | December | $362,419 |
| ARAG INSURANCE COMPANY | — | 1,966 | December | $26,007 |
| KAISER FOUNDATION HEALTH PLAN OF THE MID-ATLANTIC STATES, INC. | Health | 314 | December | $5,626 |
| KAISER FOUNDATION HEALTH PLAN OF COLORADO | Health | 17 | December | $0 |
| KAISER FOUNDATION HEALTH PLAN INC. | Health | 49 | December | $0 |
| KAISER FOUNDATION HEALTH PLAN INC. | Health | 19 | December | $0 |
| FEDERAL INSURANCE COMPANY | — | 4,244 | January | $0 |
| UNITEDHEALTHCARE INSURANCE COMPANY | Health | 2 | December | $0 |
Questions
Who is FINRA's benefits broker?
Per its most recent Form 5500 Schedule A, FINRA's broker of record is LOCKTON COMPANIES, LLC NE SERIES.
What insurance carrier does FINRA use?
FINRA's benefit plan is written through PRUDENTIAL INSURANCE COMPANY OF AMERICA, among 8 disclosed carriers.
When does FINRA's group plan renew?
The most recent Schedule A policy period for FINRA ended in December. Group plans typically renew on the same annual cycle.
Where does this data come from?
All figures are drawn from FINRA's public Form 5500 filing with the U.S. Department of Labor (EFAST2). Form 5500 is a public record.