NATIONAL PLANNING CORP

Q1 2018 13F Holdings Report, Options Holdings

Signature - Title
Patricia McCallop - Chief Compliance Officer
Location
El Segundo, CA
Options holdings as of
March 31, 2018
Notional value $
$0
Number of holdings
0
Date filed
4/16/2018, 04:47 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q4 2017 - Feb 14, 2018
Stock holdings
Showing options holdings, see here for stock holdings

NATIONAL PLANNING CORP didn't report any options holdings as of Q1 2018. Check stock holdings.

Filing 2018 Q1 compared to 2017 Q4 by default.
* 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 4/16/2018

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.

Other Included Managers (1):

Num Name Location File Number
1 PRUDENTIAL PLC London, England, United Kingdom 028-03582