0001085146-18-001085.txt : 20180416 0001085146-18-001085.hdr.sgml : 20180416 20180416164704 ACCESSION NUMBER: 0001085146-18-001085 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180416 DATE AS OF CHANGE: 20180416 EFFECTIVENESS DATE: 20180416 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: 18757053 BUSINESS ADDRESS: STREET 1: 100 NORTH SEPULVEDA BLVD. STREET 2: SUITE 1800 CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 888-711-6720 MAIL ADDRESS: STREET 1: 100 NORTH SEPULVEDA BLVD. STREET 2: SUITE 1800 CITY: EL SEGUNDO STATE: CA ZIP: 90245 FORMER COMPANY: FORMER CONFORMED NAME: National Planning Corp DATE OF NAME CHANGE: 20100518 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001492262 XXXXXXXX 03-31-2018 03-31-2018 National Planning Corp

100 NORTH SEPULVEDA BLVD. SUITE 1800 EL SEGUNDO CA 90245

13F HOLDINGS REPORT 028-13971 Y ON AUGUST 15, 2017 NATIONAL PLANNING HOLDINGS, INC., THE PARENT COMPANY OF NATIONAL PLANNING CORPORATION ("NPC"), 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 NPC. AS A RESULT OF THIS TRANSACTION, NPC 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 NPC, AND NPC NO LONGER HAS ANY REGULATORY ASSETS UNDER MANAGEMENT, WHICH IS CONSISTENT WITH THE INFORMATION REPORTED ON NPC'S 2018 ANNUAL AMENDMENT TO ITS ADV PART 1A. THIS FORM 13F REPORT IS THE FINAL FORM 13F FILING FOR NPC REFLECTING ZERO DISCRETIONARY POSITIONS. NPC ANTICIPATES FILING AN ADV-W TO WITHDRAW ITS REGISTRATION AS AN SEC REGISTERED INVESTMENT ADVISORY DURING CALENDAR YEAR 2018. Patricia McCallop 310 899-7975 /s/ Patricia McCallop El Segundo CA 04-16-2018 1 1 0 false 1 0000898419 028-03582 PRUDENTIAL PLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE NONENA00000000000SHSOLE 000