Advisor Group, Inc.

Q3 2018 13F Holdings Report, Stock Holdings

Signature - Title
Robert J Guldner - Chief Compliance Officer
Location
Phoenix, AZ
Holdings as of
September 30, 2018
Value $
$9.91B
Num holdings
5,391
Date filed
11/14/2018, 12:05 PM
Description
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.
Previous filing
Q2 2018 - Aug 13, 2018
Options Holdings
Showing stock holdings, see here for options holdings
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2018 Q3 compared to 2018 Q2 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
Robert J Guldner Chief Compliance Officer Jersey City, New Jersey 11/14/2018

Advisor Group, Inc. is an affiliate of a portfolio company owned by an investment fund advised by an affiliate of Lightyear Capital LLC. Lightyear Capital LLC and Advisor Group, Inc. have information barriers in place. However, under Section 13(f) of the Securities Exchange Act of 1934, as amended, and the rules promulgated thereunder, Lightyear Capital LLC and Advisor Group, Inc. may be deemed to have shared investment discretion over the securities managed by Advisor Group, Inc.

Other Included Managers (5):

Num Name Location File Number
1 OSAIC WEALTH, INC. Jersey City, AZ
2 SAGEPOINT FINANCIAL, INC. Phoenix, AZ
6 FSC SECURITES, INC. Atlanta, GA
8 WOODBURY FINANCIAL SERVICES, INC. Oakdale, MN
99 VISION2020 WEALTH MANAGEMENT CORP. Phoenix, AZ