-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Srum7Q1+IvJH7My292SADpfSMJphmdP5+oFL+a8Y3iKw9+451c0uoejKYfmRpqwR bihMSgxzoqPCvKri/8q7Ag== 0001085146-11-000321.txt : 20110214 0001085146-11-000321.hdr.sgml : 20110214 20110214184934 ACCESSION NUMBER: 0001085146-11-000321 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: National Planning Corp CENTRAL INDEX KEY: 0001492262 IRS NUMBER: 383023534 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13971 FILM NUMBER: 11609653 BUSINESS ADDRESS: STREET 1: 401 WILSHIRE BLVD STREET 2: SUITE 1100 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 888-711-6720 MAIL ADDRESS: STREET 1: 401 WILSHIRE BLVD STREET 2: SUITE 1100 CITY: SANTA MONICA STATE: CA ZIP: 90401 13F-HR 1 npc4q10.txt NATIONAL PLANNING CORPORATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: National Planning Corporation Address: 401 Wilshire Boulevard, Suite 1100 Santa Monica, CA 90401 13F File Number: 028-13971 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Sean Haley Title: Chief Compliance Officer Phone: (310)-899-7813 Signature, Place, and Date of Signing: /s/ Sean Haley Santa Monica, CA January 13, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 149 Form 13F Information Table Value Total: $109,045 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABERDEEN ASIA PACIFIC INCOM COM 003009107 198 28922 SH SOLE 0 0 28922 ALCOA INC COM 013817101 179 11132 SH SOLE 0 0 11132 ALPINE GLOBAL DYNAMIC DIVD F COM 02082E106 540 74472 SH SOLE 0 0 74472 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 563 93608 SH SOLE 0 0 93608 ALTRIA GROUP INC COM 02209S103 633 25845 SH SOLE 0 0 25845 AMERICAN SELECT PORTFOLIO IN COM 029570108 228 22200 SH SOLE 0 0 22200 ANNALY CAP MGMT INC COM 035710409 1564 87670 SH SOLE 0 0 87670 ANWORTH MORTGAGE ASSET CP COM 037347101 363 52900 SH SOLE 0 0 52900 AT&T INC COM 00206R102 1129 38175 SH SOLE 0 0 38175 BANK OF AMERICA CORPORATION COM 060505104 664 47215 SH SOLE 0 0 47215 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 189 27000 SH SOLE 0 0 27000 BLACKROCK MUNIYIELD ARIZ FD COM 09254K109 180 13900 SH SOLE 0 0 13900 BLACKROCK MUNIYIELD INVST FD COM 09254R104 128 10000 SH SOLE 0 0 10000 BOEING CO COM 097023105 237 3576 SH SOLE 0 0 3576 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 222 1730 SH SOLE 0 0 1730 CATERPILLAR INC DEL COM 149123101 323 3435 SH SOLE 0 0 3435 CENTRAL FD CDA LTD CL A 153501101 1250 60631 SH SOLE 0 0 60631 CHEVRON CORP NEW COM 166764100 5038 54789 SH SOLE 0 0 54789 CHICOS FAS INC COM 168615102 186 15300 SH SOLE 0 0 15300 CLAYMORE EXCHANGE-TRADED FD GUGG BRIC ETF 18383M100 531 11384 SH SOLE 0 0 11384 CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 1464 14377 SH SOLE 0 0 14377 DNP SELECT INCOME FD COM 23325P104 327 36000 SH SOLE 0 0 36000 EATON VANCE TXMGD GL BUYWR O COM 27829C105 140 11415 SH SOLE 0 0 11415 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 246 4661 SH SOLE 0 0 4661 ENTERPRISE PRODS PARTNERS L COM 293792107 412 9894 SH SOLE 0 0 9894 EXXON MOBIL CORP COM 30231G102 817 11007 SH SOLE 0 0 11007 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 439 16892 SH SOLE 0 0 16892 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1018 8480 SH SOLE 0 0 8480 FRONTIER COMMUNICATIONS CORP COM 35906A108 175 18047 SH SOLE 0 0 18047 FULTON FINL CORP PA COM 360271100 129 12514 SH SOLE 0 0 12514 GABELLI GLB GLD NAT RES & IN COM SHS BN INT 36244N109 217 11584 SH SOLE 0 0 11584 GENERAL ELECTRIC CO COM 369604103 912 50297 SH SOLE 0 0 50297 HEWLETT PACKARD CO COM 428236103 215 5120 SH SOLE 0 0 5120 ING CLARION GLB RE EST INCM COM 44982G104 108 13527 SH SOLE 0 0 13527 ING PRIME RATE TR SH BEN INT 44977W106 405 69600 SH SOLE 0 0 69600 INLAND REAL ESTATE CORP COM NEW 457461200 150 16050 SH SOLE 0 0 16050 INTEL CORP COM 458140100 301 14350 SH SOLE 0 0 14350 INTERNATIONAL BUSINESS MACHS COM 459200101 826 5611 SH SOLE 0 0 5611 INVESCO VAN KAMPEN MUNI OPP COM 46132C107 161 12600 SH SOLE 0 0 12600 INVESTORS REAL ESTATE TR SH BEN INT 461730103 370 40729 SH SOLE 0 0 40729 ISHARES INC MSCI BRIC INDX 464286657 399 8062 SH SOLE 0 0 8062 ISHARES INC MSCI TURKEY FD 464286715 279 4147 SH SOLE 0 0 4147 ISHARES TR BARCLYS TIPS BD 464287176 5069 47605 SH SOLE 0 0 47605 ISHARES TR BARCLY USAGG B 464287226 3237 30559 SH SOLE 0 0 30559 ISHARES TR MSCI EMERG MKT 464287234 920 19199 SH SOLE 0 0 19199 ISHARES TR IBOXX INV CPBD 464287242 1947 17969 SH SOLE 0 0 17969 ISHARES TR S&P500 GRW 464287309 384 5884 SH SOLE 0 0 5884 ISHARES TR S&P 500 VALUE 464287408 395 6465 SH SOLE 0 0 6465 ISHARES TR BARCLYS 7-10 YR 464287440 639 6789 SH SOLE 0 0 6789 ISHARES TR BARCLYS 1-3 YR 464287457 1906 22667 SH SOLE 0 0 22667 ISHARES TR MSCI EAFE IDX 464287465 1321 22513 SH SOLE 0 0 22513 ISHARES TR RUSSELL MCP GR 464287481 230 4020 SH SOLE 0 0 4020 ISHARES TR S&P MIDCAP 400 464287507 389 4226 SH SOLE 0 0 4226 ISHARES TR COHEN&ST RLTY 464287564 222 3318 SH SOLE 0 0 3318 ISHARES TR S&P MC 400 GRW 464287606 481 4725 SH SOLE 0 0 4725 ISHARES TR RUSL 2000 GROW 464287648 314 3550 SH SOLE 0 0 3550 ISHARES TR RUSSELL 2000 464287655 458 5743 SH SOLE 0 0 5743 ISHARES TR S&P MIDCP VALU 464287705 432 5404 SH SOLE 0 0 5404 ISHARES TR DJ US REAL EST 464287739 329 5792 SH SOLE 0 0 5792 ISHARES TR S&P SMLCAP 600 464287804 379 5434 SH SOLE 0 0 5434 ISHARES TR S&P SMLCP VALU 464287879 539 7363 SH SOLE 0 0 7363 ISHARES TR S&P SMLCP GROW 464287887 362 4922 SH SOLE 0 0 4922 ISHARES TR LARGE VAL INDX 464288109 244 4038 SH SOLE 0 0 4038 ISHARES TR JPMORGAN USD 464288281 962 8928 SH SOLE 0 0 8928 ISHARES TR HIGH YLD CORP 464288513 3004 33289 SH SOLE 0 0 33289 ISHARES TR BARCLYS MBS BD 464288588 356 3357 SH SOLE 0 0 3357 ISHARES TR BARCLYS 1-3YR CR 464288646 3269 31344 SH SOLE 0 0 31344 ISHARES TR BARCLYS 3-7 YR 464288661 201 1742 SH SOLE 0 0 1742 ISHARES TR BARCLYS SH TREA 464288679 1125 10191 SH SOLE 0 0 10191 ISHARES TR US PFD STK IDX 464288687 1311 33702 SH SOLE 0 0 33702 ISHARES TR S&P GLB MTRLS 464288695 229 3098 SH SOLE 0 0 3098 ISHARES TR DJ OIL&GAS EXP 464288851 217 3332 SH SOLE 0 0 3332 ISHARES TR MSCI VAL IDX 464288877 216 4234 SH SOLE 0 0 4234 JOHNSON & JOHNSON COM 478160104 617 9871 SH SOLE 0 0 9871 JOY GLOBAL INC COM 481165108 227 2550 SH SOLE 0 0 2550 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 3058 83856 SH SOLE 0 0 83856 KEEGAN RES INC COM 487275109 569 65599 SH SOLE 0 0 65599 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 756 10718 SH SOLE 0 0 10718 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 452 7450 SH SOLE 0 0 7450 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 212 5296 SH SOLE 0 0 5296 MCDONALDS CORP COM 580135101 388 5024 SH SOLE 0 0 5024 MEDTRONIC INC COM 585055106 390 10353 SH SOLE 0 0 10353 MFS INTER INCOME TR SH BEN INT 55273C107 84 13200 SH SOLE 0 0 13200 MFS MUN INCOME TR SH BEN INT 552738106 120 19500 SH SOLE 0 0 19500 MICROSOFT CORP COM 594918104 728 26103 SH SOLE 0 0 26103 NEUBERGER BERMAN HGH YLD FD COM 64128C106 593 43192 SH SOLE 0 0 43192 NUVEEN GLB GOVT ENHANCED IN COM 67073C104 182 11600 SH SOLE 0 0 11600 NUVEEN INSD MUN OPPORTUNITY COM 670984103 132 10080 SH SOLE 0 0 10080 NUVEEN MULTI STRAT INC & GR COM 67073B106 432 50908 SH SOLE 0 0 50908 NUVEEN SELECT QUALITY MUN FD COM 670973106 180 13260 SH SOLE 0 0 13260 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 210 1500 SH SOLE 0 0 1500 PENN WEST ENERGY TR TR UNIT 707885109 2148 95360 SH SOLE 0 0 95360 PFIZER INC COM 717081103 208 11725 SH SOLE 0 0 11725 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 423 20554 SH SOLE 0 0 20554 PIMCO CORPORATE INCOME FD COM 72200U100 252 15900 SH SOLE 0 0 15900 PIMCO ETF TR BLD AMER BD FD 72201R825 266 5624 SH SOLE 0 0 5624 PIMCO GLOBAL STOCKSPLS INCM COM 722011103 468 21300 SH SOLE 0 0 21300 PIMCO HIGH INCOME FD COM SHS 722014107 771 60254 SH SOLE 0 0 60254 PIMCO INCOME OPPORTUNITY FD COM 72202B100 1511 58376 SH SOLE 0 0 58376 PIMCO INCOME STRATEGY FUND COM 72201H108 147 12940 SH SOLE 0 0 12940 PIONEER MUN HIGH INCOME TR COM SHS 723763108 138 10500 SH SOLE 0 0 10500 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 475 18743 SH SOLE 0 0 18743 POWERSHARES ETF TRUST DWA TECH LDRS 73935X153 297 12400 SH SOLE 0 0 12400 POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 394 21190 SH SOLE 0 0 21190 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 2512 97400 SH SOLE 0 0 97400 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 734 40156 SH SOLE 0 0 40156 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 1038 73500 SH SOLE 0 0 73500 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 253 9456 SH SOLE 0 0 9456 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 2604 46937 SH SOLE 0 0 46937 PROCTER & GAMBLE CO COM 742718109 1162 18006 SH SOLE 0 0 18006 PUTNAM MANAGED MUN INCOM TR COM 746823103 78 11361 SH SOLE 0 0 11361 QWEST COMMUNICATIONS INTL IN COM 749121109 117 15126 SH SOLE 0 0 15126 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 616 12869 SH SOLE 0 0 12869 RYDEX ETF TRUST S&P500 PUR GRW 78355W403 518 11828 SH SOLE 0 0 11828 SCHLUMBERGER LTD COM 806857108 291 3482 SH SOLE 0 0 3482 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 423 12177 SH SOLE 0 0 12177 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 360 5221 SH SOLE 0 0 5221 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 212 8286 SH SOLE 0 0 8286 SHAMIR OPTICAL INDUSTRY LTD SHS M83683108 558 40400 SH SOLE 0 0 40400 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 2809 24095 SH SOLE 0 0 24095 SPDR GOLD TRUST GOLD SHS 78463V107 1903 13732 SH SOLE 0 0 13732 SPDR S&P 500 ETF TR TR UNIT 78462F103 3653 28746 SH SOLE 0 0 28746 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 328 4930 SH SOLE 0 0 4930 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 2253 56422 SH SOLE 0 0 56422 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 301 6100 SH SOLE 0 0 6100 SPDR SERIES TRUST S&P DIVID ETF 78464A763 223 4270 SH SOLE 0 0 4270 TEMPLETON DRAGON FD INC COM 88018T101 216 6876 SH SOLE 0 0 6876 TEMPLETON GLOBAL INCOME FD COM 880198106 180 16500 SH SOLE 0 0 16500 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 738 14002 SH SOLE 0 0 14002 UNITED PARCEL SERVICE INC CL B 911312106 213 2933 SH SOLE 0 0 2933 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 1375 16729 SH SOLE 0 0 16729 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 416 5191 SH SOLE 0 0 5191 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2862 35751 SH SOLE 0 0 35751 VANGUARD INDEX FDS REIT ETF 922908553 297 5301 SH SOLE 0 0 5301 VANGUARD INDEX FDS SM CP VAL ETF 922908611 217 3180 SH SOLE 0 0 3180 VANGUARD INDEX FDS GROWTH ETF 922908736 449 7212 SH SOLE 0 0 7212 VANGUARD INDEX FDS VALUE ETF 922908744 286 5290 SH SOLE 0 0 5290 VANGUARD INDEX FDS SMALL CP ETF 922908751 327 4419 SH SOLE 0 0 4419 VANGUARD INDEX FDS STK MRK ETF 922908769 265 4024 SH SOLE 0 0 4024 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 602 12355 SH SOLE 0 0 12355 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 1434 18505 SH SOLE 0 0 18505 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 371 4700 SH SOLE 0 0 4700 VANGUARD WORLD FD MEGA VALUE 300 921910840 231 5884 SH SOLE 0 0 5884 VANGUARD WORLD FD MEGA CAP INDEX 921910873 227 5239 SH SOLE 0 0 5239 VERIZON COMMUNICATIONS INC COM 92343V104 927 25446 SH SOLE 0 0 25446 WALGREEN CO COM 931422109 433 11021 SH SOLE 0 0 11021 WISDOMTREE TRUST LARGECAP DIVID 97717W307 471 10145 SH SOLE 0 0 10145 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 878 14634 SH SOLE 0 0 14634 YAMANA GOLD INC COM 98462Y100 914 73034 SH SOLE 0 0 73034
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