0000752798-18-000007.txt : 20180927 0000752798-18-000007.hdr.sgml : 20180927 20180927121843 ACCESSION NUMBER: 0000752798-18-000007 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180917 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PROEQUITIES, INC. CENTRAL INDEX KEY: 0000752798 IRS NUMBER: 630879387 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01146 FILM NUMBER: 181090116 BUSINESS ADDRESS: STREET 1: 2801 HIGHWAY 280 SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35223 BUSINESS PHONE: (205) 268-5144 MAIL ADDRESS: STREET 1: P.O. BOX 518 CITY: BIRMINGHAM STATE: AL ZIP: 35201-0518 FORMER COMPANY: FORMER CONFORMED NAME: PROEQUITIES INC DATE OF NAME CHANGE: 20020129 FORMER COMPANY: FORMER CONFORMED NAME: PROTECTIVE EQUITY SERVICES INC /BD DATE OF NAME CHANGE: 19950206 MA/A 1 primary_doc.xml MA/A 0000752798 XXXXXXXX Stephen Youhn 205-268-3369 steve.youhn@proequities.com jennifer.cox@proequities.com PROEQUITIES, INC. 000015708 Protective Securities, a division of ProEquities, Inc. 63-0879387 866-00264-00 867-00264-00 008-32590 000015708 801-06010 000015708 2801 HIGHWAY 280 SOUTH BIRMINGHAM AL 35223 205-268-3369 Y P.O. BOX 518 BIRMINGHAM AL 35201-0518 www.proequities.com Add www.protectivesecurities.com Stephen M Youhn

2801 U.S. Highway 280 South Birmingham AL 35223

800-288-3035 205-268-3622 steve.youhn@proequities.com Rory Marshall Hartley

2801 U.S. Highway 280 South Birmingham AL 35223

800-288-3035 205-268-3622 rory.hartley@protective.com Add Protective Life Corporation 2801 Hwy 280 South Birmingham AL 35223 800-866-3555 PROTECTIVE LIFE CORPORATION, PROEQUITIES, INC.'S PARENT COMPANY MAINTAINS CERTAIN ACCOUNTING AND REGULATORY RECORDS ON BEHALF OF PROEQUITIES, INC., SUCH AS TAX RETURNS, CORPORATE MINUTES AND PAYROLL RECORDS. Investment Distributors,Inc. Y Securities and Exchange Commission 8-46802 Protective Life Corporation Y Securities and Exchange Commission CIK 0000355429 Protective Investment Advisors, Inc. Y SEC 801-45890 December AL 07-11-1984 N 650 1 2 2 1 0 3 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice Use Of MD Advice On Selection Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Insurance company or agency 12 Add Insurance company or agency Protective Life Corporation Protective Life Corporation Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Rory Marshall Hartley Rory Marshall Hartley Y N N Delete Insurance company or agency John Robert Sawyer John Robert Sawyer Y N N Add Insurance company or agency Paul Richard Wells Paul Richard Wells Y Y N Add Insurance company or agency Mark Joseph Cyphert Mark Joseph Cyphert Y Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Distributors, Inc. Investment Distributors, Inc. N Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Investors Brokerage Services, Inc. Investors Brokerage Services, Inc. N Y N Delete Investment Adviser PMG Asset Management, Inc. PMG Asset Management, Inc. N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Stephen M Youhn Stephen M Youhn Y N N Add Broker-dealer municipal securities dealer or government securities broker or dealer Matthew Ames Riebel Matthew Ames Riebel Y N N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer Aaron Christopher Seurkamp Aaron Christopher Seurkamp Y N N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Christopher W Flint Christopher W Flint Y N N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Elizabeth Giltz Anderson Elizabeth Giltz Anderson Y N N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Cristi L Meyers Cristi L Meyers Y N N NewAdd Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Blaine Harold Miller Blaine Harold Miller Y N N N N N N N N N N N N N N N PROTECTIVE LIFE CORP 0000355429 Schedule A N N N N N N N N N N Y N Y N N Y N N N N N N N N N N Protective Life Corporation Y 95-2492236 Parent Company 08-01-1984 E Y Stephen M Youhn Chief Compliance Officer 04-06-2013 NA Y 001414691 Rory Marshall Hartley Managing Director, Protective Securities 12-01-2004 NA Y 001464251 John Robert Sawyer Director 03-01-2012 NA Y 002163226 Paul Richard Wells Director 04-01-2013 NA Y 006188199 Mark Joseph Cyphert Director 07-01-2013 NA Y 006233118 Christopher Wade Flint President/CEO 07-01-2015 NA Y 002804477 Blaine Harold Miller Chief Supervision Officer 01-05-2016 NA Y 004214267 Darren Cyril Guerrera Chief Financial Officer 04-01-2015 NA N 002541120 Elizabeth Giltz Anderson Vice President, Advisory and Planning 07-07-2016 NA Y 002209248 Cristi L Meyers Interim Director of Operations 03-15-2018 NA Y 001493867 Add Protective Life Corporation Y 95-2492236 Parent Company 08-01-1984 E Y Amend Stephen M Youhn Chief Compliance Officer 04-06-2013 NA Y 001414691 Add Rory Marshall Hartley Managing Director, Protective Securities 12-01-2004 NA Y 001464251 Delete John Robert Sawyer Director 03-01-2012 NA Y 002163226 Add Paul Richard Wells Director 04-01-2013 NA Y 006188199 Add Mark Joseph Cyphert Director 07-01-2013 NA Y 006233118 Add Christopher Wade Flint President/CEO 07-01-2015 NA Y 002804477 Add Blaine Harold Miller Chief Supervision Officer 01-05-2016 NA Y 004214267 Add Darren Cyril Guerrera Chief Financial Officer 04-01-2015 NA N 002541120 Add Elizabeth Giltz Anderson Vice President, Advisory and Planning 07-07-2016 NA Y 002209248 Add Cristi L Meyers Interim Director of Operations 03-15-2018 NA Y 001493867 Add Aaron Christopher Seurkamp SVP, Life and Annuity DIvision 06-29-2018 NA Y 004751862 Add Protective Life Corporation The Dai-Ichi Life Insurance Company, Limited N foregin complete 02-02-2015 E Y 9-D2 9-D4 ProEquities, Inc. 000015708 1710672 9-D2 9-D4 ProEquities, Inc. 000015708 1660731 9-D2 9-D4 ProEquities, Inc. 000015708 1655899 9-D2 9-D4 ProEquities, Inc. 000015708 1652036 9-D2 9-D4 ProEquities, Inc. 000015708 1650848 9-D2 9-D4 ProEquities, Inc. 000015708 1647345 9-D2 9-D4 ProEquities, Inc. 000015708 1647344 9-D2 9-D4 ProEquities, Inc. 000015708 1645223 9-D2 9-D4 ProEquities, Inc. 000015708 1645222 9-D2 9-D4 ProEquities, Inc. 000015708 1645221 9-D2 9-D4 ProEquities, Inc. 000015708 1640582 9-D2 9-D4 ProEquities, Inc. 000015708 1640581 9-D2 9-D4 ProEquities, Inc. 000015708 1640580 9-D2 9-D4 ProEquities, Inc. 000015708 1635699 9-D2 9-D4 ProEquities, Inc. 000015708 1635697 9-D2 9-D4 ProEquities, Inc. 000015708 1635696 9-D2 9-D4 ProEquities, Inc. 000015708 1635695 9-D2 9-D4 ProEquities, Inc. 000015708 1635694 9-D2 9-D4 ProEquities, Inc. 000015708 1635693 9-D2 9-D4 ProEquities, Inc. 000015708 1634276 9-D2 9-D4 ProEquities, Inc. 000015708 1631406 9-D2 9-D4 ProEquities, Inc. 000015708 1631404 9-D2 9-D4 ProEquities, Inc. 000015708 1631403 9-D2 9-D4 ProEquities, Inc. 000015708 1631402 9-D2 9-D4 ProEquities, Inc. 000015708 1631401 9-D2 9-D4 ProEquities, Inc. 000015708 1631400 9-D2 9-D4 ProEquities, Inc. 000015708 1631399 9-D2 9-D4 ProEquities, Inc. 000015708 1631398 9-D2 9-D4 ProEquities, Inc. 000015708 1631397 9-D2 9-D4 ProEquities, Inc. 000015708 1631375 9-D2 9-D4 ProEquities, Inc. 000015708 1628418 9-D2 9-D4 ProEquities, Inc. 000015708 1628164 9-D2 9-D4 ProEquities, Inc. 000015708 1626038 9-D2 9-D4 ProEquities, Inc. 000015708 1625517 9-D2 9-D4 ProEquities, Inc. 000015708 1624794 9-D2 9-D4 ProEquities, Inc. 000015708 1624777 9-D2 9-D4 ProEquities, Inc. 000015708 1621633 9-D2 9-D4 ProEquities, Inc. 000015708 1621631 9-D2 9-D4 ProEquities, Inc. 000015708 1621630 9-D2 9-D4 ProEquities, Inc. 000015708 1621629 9-D2 9-D4 ProEquities, Inc. 000015708 1621628 9-D2 9-D4 ProEquities, Inc. 000015708 1621627 9-D2 9-D4 ProEquities, Inc. 000015708 1621626 9-D2 9-D4 ProEquities, Inc. 000015708 1621486 9-D2 9-D4 ProEquities, Inc. 000015708 1606903 9-D2 ProEquities, Inc. 000015708 1534277 9-D2 ProEquities, Inc. 000015708 1527908 1 9-E2 Investment Distributors, Inc. Y 008-46802 Investment Distributors, Inc. 000035490 1489143 9-E2 ProEquities, Inc. 000015708 1448387 1 9-E2 Investors Brokerage Services, Inc. Y 008-14989 Investors Brokerage Services, Inc. 000004257 1322607 1 9-D2 9-D4 Investors Brokerage Services, Inc. Y 008-14989 Investors Brokerage Services,Inc. 000004257 1322605 1 9-E2 First Variable Capital Services, Inc. Y 008-44678 First Variable Capital Services 000030007 1279771 9-D2 9-D4 ProEquities, Inc. 000015708 not yet assigned 9-D2 9-D4 ProEquities, Inc. 000015708 1801860 9-E2 ProEquities, Inc. 000015708 1843440 9-E2 ProEquities, Inc. 000015708 1895013 9-D2 9-D4 ProEquities, Inc. 000015708 1902154 9-D2 9-E2 ProEquities, Inc. 000015708 1917141 9-D4 ProEquities, Inc. 000015708 1916769 9-D2 9-D4 ProEquities, Inc. 000015708 1917141 9-D2 9-D4 ProEquities, Inc. 000015708 1925673 9-D2 9-D4 ProEquities, Inc. 000015708 21242 9-D2 9-D4 ProEquities, Inc. 000015708 1943597 9-D2 9-D4 ProEquities, Inc. 000015708 1939522 9-D2 9-D4 ProEquities, Inc. 000015708 1801860 9-D2 9-D4 ProEquities, Inc. 000015708 1196648 9-E2 ProEquities, Inc. 000015708 1086657 9-E2 ProEquities, Inc. 000015708 120504 9-D2 9-D4 ProEquities, Inc. 000015708 1986718 Jennifer R. Cox Jennifer R. Cox Director of Regulatory Affairs and Policy 09-17-2018 004285599 N N Y N N Y N N Y Y Y N Y N N N N Y N N N