The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE |
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| Report for the Calendar Year or Quarter Ended: | 03-31-2018 |
| 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: | INVESTMENT CENTERS OF AMERICA INC |
| Address: | 212 N 4TH ST |
| BISMARCK, ND 58501 | |
| Form 13F File Number: | 028-14413 |
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: | Daniel Wright | |||
| Title: | Chief Compliance Officer | |||
| Phone: | 920 996-2600 | |||
| Signature, Place, and Date of Signing: | ||||
| /s/ Daniel Wright | Appleton, WI | 04-16-2018 | ||
| [Signature] | [City, State] | [Date] | ||
| 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. | ||||
| Report Type (Check only one.): | |
| X | 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |
| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) | |
| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) | |
| Form 13F Summary Page | |||||
| Report Summary: | |||||
| Number of Other Included Managers: | 1 | ||||
| Form 13F Information Table Entry Total: | 1 | ||||
| Form 13F Information Table Value Total: | 0 | ||||
| (thousands) | |||||
| List of Other Included Managers: | |||
| Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. | |||
| [If there are no entries in this list, state “NONE” and omit the column headings and list entries.] | |||
| No. | Form 13F File Number | Name | |
| 1 | 028-03582 | PRUDENTIAL PLC | |