0000752798-19-000012.txt : 20190801 0000752798-19-000012.hdr.sgml : 20190801 20190801115359 ACCESSION NUMBER: 0000752798-19-000012 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190724 DATE AS OF CHANGE: 20190801 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: 19991708 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. 15708 Protective Securities, a division of ProEquities, Inc. 63-0879387 866-00264-00 867-00264-00 008-32590 15708 801-56010 15708 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 11 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 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 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 Add Broker-dealer municipal securities dealer or government securities broker or dealer Aaron Christopher Seurkamp Aaron Christopher Seurkamp Y N N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Christopher W Flint Christopher W Flint Y N N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Elizabeth Giltz Anderson Elizabeth Giltz Anderson Y N N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Cristi L Meyers Cristi L Meyers Y N N Add 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 Y 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 1414691 Rory Marshall Hartley Managing Director, Protective Securities 12-01-2004 NA Y 1464251 Paul Richard Wells Director 04-01-2013 NA Y 6188199 Mark Joseph Cyphert Director 07-01-2013 NA Y 6233118 Christopher Wade Flint President/CEO 07-01-2015 NA Y 2804477 Blaine Harold Miller Chief Supervision Officer 01-05-2016 NA Y 4214267 Darren Cyril Guerrera Chief Financial Officer 04-01-2015 NA N 2541120 Elizabeth Giltz Anderson Vice President, Advisory and Planning 07-07-2016 NA Y 2209248 Cristi L Meyers Interim Director of Operations 03-15-2018 NA Y 1493867 Aaron Christopher Seurkamp SVP, Life and Annuity DIvision 06-29-2018 NA Y 4751862 Matthew Ames Riebel Director 07-27-2017 NA Y 1980108 Protective Life Corporation The Dai-Ichi Life Insurance Company, Limited N foregin complete 02-02-2015 E Y Protective Life Corporation Y 95-2492236 Parent Company 08-01-1984 E Y Stephen M Youhn Chief Compliance Officer 04-06-2013 NA Y 1414691 Rory Marshall Hartley Managing Director, Protective Securities 12-01-2004 NA Y 1464251 Paul Richard Wells Director 04-01-2013 NA Y 6188199 Mark Joseph Cyphert Director 07-01-2013 NA Y 6233118 Christopher Wade Flint President/CEO 07-01-2015 NA Y 2804477 Blaine Harold Miller Chief Supervision Officer 01-05-2016 NA Y 4214267 Darren Cyril Guerrera Chief Financial Officer 04-01-2015 NA N 2541120 Elizabeth Giltz Anderson Vice President, Advisory and Planning 07-07-2016 NA Y 2209248 Delete Harold Blaine Miller Interim Director of Operations 07-22-2019 NA Y 4124267 Aaron Christopher Seurkamp SVP, Life and Annuity DIvision 06-29-2018 NA Y 4751862 Matthew Ames Riebel Director 07-27-2017 NA Y 1980108 NewAdd Harold Blaine Miller Interim Chief Operating Officer 07-24-2019 NA Y 4214267 Protective Life Corporation The Dai-Ichi Life Insurance Company, Limited N foregin complete 02-02-2015 E Y 9-D2 9-D4 ProEquities, Inc. 15708 1710672 9-D2 9-D4 ProEquities, Inc. 15708 1660731 9-D2 9-D4 ProEquities, Inc. 15708 1655899 9-D2 9-D4 ProEquities, Inc. 15708 1652036 9-D2 9-D4 ProEquities, Inc. 15708 1650848 9-D2 9-D4 ProEquities, Inc. 15708 1647345 9-D2 9-D4 ProEquities, Inc. 15708 1647344 9-D2 9-D4 ProEquities, Inc. 15708 1645223 9-D2 9-D4 ProEquities, Inc. 15708 1645222 9-D2 9-D4 ProEquities, Inc. 15708 1645221 9-D2 9-D4 ProEquities, Inc. 15708 1640582 9-D2 9-D4 ProEquities, Inc. 15708 1640581 9-D2 9-D4 ProEquities, Inc. 15708 1640580 9-D2 9-D4 ProEquities, Inc. 15708 1635699 9-D2 9-D4 ProEquities, Inc. 15708 1635697 9-D2 9-D4 ProEquities, Inc. 15708 1635696 9-D2 9-D4 ProEquities, Inc. 15708 1635695 9-D2 9-D4 ProEquities, Inc. 15708 1635694 9-D2 9-D4 ProEquities, Inc. 15708 1635693 9-D2 9-D4 ProEquities, Inc. 15708 1634276 9-D2 9-D4 ProEquities, Inc. 15708 1631406 9-D2 9-D4 ProEquities, Inc. 15708 1631404 9-D2 9-D4 ProEquities, Inc. 15708 1631403 9-D2 9-D4 ProEquities, Inc. 15708 1631402 9-D2 9-D4 ProEquities, Inc. 15708 1631401 9-D2 9-D4 ProEquities, Inc. 15708 1631400 9-D2 9-D4 ProEquities, Inc. 15708 1631399 9-D2 9-D4 ProEquities, Inc. 15708 1631398 9-D2 9-D4 ProEquities, Inc. 15708 1631397 9-D2 9-D4 ProEquities, Inc. 15708 1631375 9-D2 9-D4 ProEquities, Inc. 15708 1628418 9-D2 9-D4 ProEquities, Inc. 15708 1628164 9-D2 9-D4 ProEquities, Inc. 15708 1626038 9-D2 9-D4 ProEquities, Inc. 15708 1625517 9-D2 9-D4 ProEquities, Inc. 15708 1624794 9-D2 9-D4 ProEquities, Inc. 15708 1624777 9-D2 9-D4 ProEquities, Inc. 15708 1621633 9-D2 9-D4 ProEquities, Inc. 15708 1621631 9-D2 9-D4 ProEquities, Inc. 15708 1621630 9-D2 9-D4 ProEquities, Inc. 15708 1621629 9-D2 9-D4 ProEquities, Inc. 15708 1621628 9-D2 9-D4 ProEquities, Inc. 15708 1621627 9-D2 9-D4 ProEquities, Inc. 15708 1621626 9-D2 9-D4 ProEquities, Inc. 15708 1621486 9-D2 9-D4 ProEquities, Inc. 15708 1606903 9-D2 ProEquities, Inc. 15708 1534277 9-D2 ProEquities, Inc. 15708 1527908 1 9-E2 Investment Distributors, Inc. Y 008-46802 Investment Distributors, Inc. 35490 1489143 9-E2 ProEquities, Inc. 15708 1448387 1 9-E2 Investors Brokerage Services, Inc. Y 008-14989 Investors Brokerage Services, Inc. 4257 1322607 1 9-D2 9-D4 Investors Brokerage Services, Inc. Y 008-14989 Investors Brokerage Services,Inc. 4257 1322605 1 9-E2 First Variable Capital Services, Inc. Y 008-44678 First Variable Capital Services 30007 1279771 9-D2 9-D4 ProEquities, Inc. 15708 not yet assigned 9-D2 9-D4 ProEquities, Inc. 15708 1801860 9-E2 ProEquities, Inc. 15708 1843440 9-E2 ProEquities, Inc. 15708 1895013 9-D2 9-D4 ProEquities, Inc. 15708 1902154 9-D2 9-E2 ProEquities, Inc. 15708 1917141 9-D4 ProEquities, Inc. 15708 1916769 9-D2 9-D4 ProEquities, Inc. 15708 1917141 9-D2 9-D4 ProEquities, Inc. 15708 1925673 9-D2 9-D4 ProEquities, Inc. 15708 21242 9-D2 9-D4 ProEquities, Inc. 15708 1943597 9-D2 9-D4 ProEquities, Inc. 15708 1939522 9-D2 9-D4 ProEquities, Inc. 15708 1801860 9-D2 9-D4 ProEquities, Inc. 15708 1196648 9-E2 ProEquities, Inc. 15708 1086657 9-E2 ProEquities, Inc. 15708 120504 9-D2 9-D4 ProEquities, Inc. 15708 1986718 9-E2 ProEquities, Inc. 15708 2020191 9-C1 9-C2 9-C4 9-C5 ProEquities, Inc. 15708 2019924 9-G ProEquities, Inc. 15708 140218 Stephen Youhn by JRC Stephen Youhn Chief Compliance Officer 07-24-2019 1414691 N N Y N N Y N N Y Y Y N Y N N N N Y Y N N