Filing 2018 Q1 compared to 2017 Q4 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
Patricia McCallop
Chief Compliance Officer
El Segundo, California
16 Apr 2018
ON AUGUST 15, 2017 NATIONAL PLANNING HOLDINGS, INC., THE PARENT COMPANY OF NATIONAL PLANNING CORPORATION ("NPC"), 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 NPC. AS A RESULT OF THIS TRANSACTION, NPC BEGAN THE WIND DOWN OF ITS BUSINESS OPERATIONS. AS OF THE DATE OF THIS FILING, ALL ADVISORY PROGRAMS HAVE BEEN TERMINATED, ALL CLIENTS HAVE BEEN NOTIFIED OF THE TERMINATION OF THEIR ASSET MANAGEMENT AGREEMENTS WITH NPC, AND NPC NO LONGER HAS ANY REGULATORY ASSETS UNDER MANAGEMENT, WHICH IS CONSISTENT WITH THE INFORMATION REPORTED ON NPC'S 2018 ANNUAL AMENDMENT TO ITS ADV PART 1A. THIS FORM 13F REPORT IS THE FINAL FORM 13F FILING FOR NPC REFLECTING ZERO DISCRETIONARY POSITIONS. NPC ANTICIPATES FILING AN ADV-W TO WITHDRAW ITS REGISTRATION AS AN SEC REGISTERED INVESTMENT ADVISORY DURING CALENDAR YEAR 2018.
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