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
Patricia McCallop
Chief Compliance Officer
El Segundo, California
2/13/2018
ON AUGUST 15, 2017 NATIONAL PLANNING HOLDINGS, 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 NATIONAL PLANNING CORPORATION (?NPC?). AS A RESULT, EFFECTIVE NOVEMBER 29, 2017, THE MAJORITY OF NPC?S ACCOUNTS WERE TRANSFERRED TO LPL AND THE MAJORITY OF CLIENTS WERE NOTIFIED OF THE TERMINATION OF THE ASSET MANAGEMENT AGREEMENTS WITH NPC. THIS 13F REPORT REFLECTS THE REMAINING DISCRETIONARY POSITIONS AS OF 12/31/2017. NPC 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.
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