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
Sandra Whited
1st VP, Compliance Director
Tampa, Florida
4/16/2018
ON AUGUST 15, 2017, NATIONAL PLANNING HOLDINGS, INC. ("NPH") 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 INVEST FINANCIAL CORPORATION ("IFC"). AS A RESULT OF THIS TRANSACTION, IFC 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 IFC, AND IFC NO LONGER HAS ANY REGULATORY ASSETS UNDER MANAGEMENT, WHICH IS CONSISTENT WITH THE INFORMATION REPORTED ON IFC'S 2018 ANNUAL AMENDMENT TO ITS ADV PART 1A. THIS FORM 13F REPORT IS THE FINAL FORM 13F FILING FOR IFC REFLECTING ZERO DISCRETIONARY POSITIONS. IFC ANTICIPATES FILING AN ADV-W TO WITHDRAW ITS REGISTRATION AS AN SEC REGISTERED INVESTMENT ADVISOR DURING CALENDAR YEAR 2018.
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