James Thorn - Compliance Officer & Advisor Solutions
Location
San Jose, CA
Holdings as of
September 30, 2017
Value $
$24.7M
Num holdings
25
Date filed
11/14/2017, 12:08 PM
Description
All US holdings of this investor are reported in this report. The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as
of the end of the calendar quarter for which the report is filed, and the total market value. The market value
column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in
accounts.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
Person Signing this Report on Behalf of Reporting Manager:
Name
Title
City, State
Date
James Thorn
Compliance Officer & Advisor Solutions
San Jose, California
11/6/2017
Proxy voting authority for managers 1-4 reflects only their proxy voting and not CONCERT Wealth Management Inc. CONCERT Wealth Management does not vote proxies for its client. Please note that CONCERT Wealth Management, Inc. is in the process of concluding operations and will file form ADV-W, prior to the end of 2017. We will not be filing form 13F for the 4th quarter of 2017.
Other Included Managers (4):
Num
Name
File Number
1
Howard Financial
2
Good Harbor Financial
3
Adhesion Wealth Advisor Solutions
4
Lord Abbett
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