NATIONAL PLANNING CORP

Q4 2017 13F Holdings Report, Stock Holdings

Signature - Title
Patricia McCallop - Chief Compliance Officer
Location
El Segundo
Holdings as of
31 Dec 2017
Value $
$726,353
Num holdings
46
Filing time
14 Feb 2018, 13:06:51 UTC
Form type
13F-HR
Description
All US holdings of this investor are reported in this report. Top holdings included VEA, VTV, VUG, BNDX, and EMLP.
Previous filing
Q3 2017 - 22 Nov 2017
Next filing
Q1 2018 - 16 Apr 2018
SEC
View on sec.gov
Options Holdings
Showing stock holdings, see here for options holdings
Sym Weight Trade Impact Company Class Share Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2017 Q4 compared to 2017 Q3 - Restatement 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 13 Feb 2018

ON AUGUST 15, 2017 NATIONAL PLANNING HOLDINGS, INC. 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 NATIONAL PLANNING CORPORATION (?NPC?). AS A RESULT, EFFECTIVE NOVEMBER 29, 2017, THE MAJORITY OF NPC?S ACCOUNTS WERE TRANSFERRED TO LPL AND THE MAJORITY OF CLIENTS WERE NOTIFIED OF THE TERMINATION OF THE ASSET MANAGEMENT AGREEMENTS WITH NPC. THIS 13F REPORT REFLECTS THE REMAINING DISCRETIONARY POSITIONS AS OF 12/31/2017. NPC IS IN THE PROCESS OF TERMINATING ALL ADVISORY AGREEMENTS, WHICH WILL BE REFLECTED ON THE 13F REPORT FILED AT THE END OF THE FIRST QUARTER OF 2018.

Other Included Managers (1):

Num Name Location File Number
1 PRUDENTIAL PLC London 028-03582