INVESTMENT CENTERS OF AMERICA INC

Q4 2017 13F Holdings Report, Stock Holdings

Signature - Title
Daniel Wright - Chief Compliance Officer
Location
Bismarck, ND
Holdings as of
31 Dec 2017
Value $
$712,000
Num holdings
3
Filing time
14 Feb 2018, 09:48:25 UTC
Form type
13F-HR
Description
All US holdings of this investor are reported in this report. Top holdings included VOO, VEA, and VTV.
Previous filing
Q3 2017 - 13 Nov 2017
Next filing
Q1 2018 - 16 Apr 2018
SEC
View on sec.gov
Sym Weight Trade Impact Company Class Share Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2017 Q4 compared to 2017 Q3 by default. Changes are calculated vs the previous SEC filing.
* 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
Daniel Wright Chief Compliance Officer Appleton, Wisconsin 12 Feb 2018

ON AUGUST 15, 2017 INVESTMENT CENTERS OF AMERICA, INC. ANNOUNCED IT HAD ENTERED INTO AN ASSET PURCHASE AGREEMENT WITH LPL FINANCIAL, LLC ("LPL") TO TRANSFER ASSETS ASSOCIATED WITH ITS INDEPENDENT BROKER DEALER NETWORK, INCLUDING THOSE ASSOCIATED WITH INVESTMENT CENTERS OF AMERICA, INC. ("ICA"). AS A RESULT, EFFECTIVE NOVEMBER 29, 2017, THE MAJORITY OF ICA?S ACCOUNTS WERE TRANSFERRED TO LPL AND THE MAJORITY OF CLIENTS WERE NOTIFIED OF THE TERMINATION OF THE ASSET MANAGEMENT AGREEMENTS WITH ICA. THIS 13F REPORT REFLECTS THE REMAINING DISCRETIONARY POSITIONS AS OF 12/31/2017. ICA IS IN THE PROCESS OF TERMINATING ALL ADVISORY AGREEMENTS, WHICH WILL BE REFLECTED ON THE 13F REPORT FILED AT THE END OF THE FIRST QUARTER OF 2018.

Other Included Managers (1):

Num Name Location File Number
1 PRUDENTIAL PLC London 028-03582