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
Sandra Whited
1st VP, Compliance Director
Tampa, Florida
16 Apr 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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