0001085146-18-001087.txt : 20180416
0001085146-18-001087.hdr.sgml : 20180416
20180416165850
ACCESSION NUMBER: 0001085146-18-001087
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: INVESTMENT CENTERS OF AMERICA INC
CENTRAL INDEX KEY: 0001351904
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14413
FILM NUMBER: 18757143
BUSINESS ADDRESS:
STREET 1: 212 N 4TH ST
CITY: BISMARCK
STATE: ND
ZIP: 58501
BUSINESS PHONE: 701-250-3201
MAIL ADDRESS:
STREET 1: 212 N 4TH ST
CITY: BISMARCK
STATE: ND
ZIP: 58501
FORMER COMPANY:
FORMER CONFORMED NAME: INVESTMENT CENTERS OF AMERICA INC/ND
DATE OF NAME CHANGE: 20060201
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001351904
XXXXXXXX
03-31-2018
03-31-2018
INVESTMENT CENTERS OF AMERICA INC
212 N 4TH ST
BISMARCK
ND
58501
13F HOLDINGS REPORT
028-14413
Y
ON AUGUST 15, 2017 NATIONAL PLANNING HOLDINGS, INC., THE PARENT COMPANY OF INVESTMENT CENTERS OF AMERICA, INC. ("ICA"), 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 ICA. AS A RESULT OF THIS TRANSACTION, ICA 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 ICA, AND ICA NO LONGER HAS ANY REGULATORY ASSETS UNDER MANAGEMENT, WHICH IS CONSISTENT WITH THE INFORMATION REPORTED ON ICA'S 2018 ANNUAL AMENDMENT TO ITS ADV PART 1A. THIS FORM 13F REPORT IS THE FINAL FORM 13F FILING FOR ICA REFLECTING ZERO DISCRETIONARY POSITIONS. ICA ANTICIPATES FILING AN ADV-W TO WITHDRAW ITS REGISTRATION AS AN SEC REGISTERED INVESTMENT ADVISORY DURING CALENDAR YEAR 2018.
Daniel Wright
Chief Compliance Officer
920 996-2600
/s/ Daniel Wright
Appleton
WI
04-16-2018
1
1
0
false
1
0000898419
028-03582
PRUDENTIAL PLC
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
NONENA00000000000SHSOLE
000