0000752798-24-000004.txt : 20240416 0000752798-24-000004.hdr.sgml : 20240416 20240416112432 ACCESSION NUMBER: 0000752798-24-000004 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240409 DATE AS OF CHANGE: 20240416 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CONCOURSE FINANCIAL GROUP SECURITIES, INC. CENTRAL INDEX KEY: 0000752798 ORGANIZATION NAME: 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: 24846498 BUSINESS ADDRESS: STREET 1: 2801 HIGHWAY 280 SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35223 BUSINESS PHONE: (205) 268-7085 MAIL ADDRESS: STREET 1: 2801 HIGHWAY 280 SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35223 FORMER COMPANY: FORMER CONFORMED NAME: PROEQUITIES, INC. DATE OF NAME CHANGE: 20210714 FORMER COMPANY: FORMER CONFORMED NAME: CONCOURSE FINANCIAL GROUP SECURITIES, INC. DATE OF NAME CHANGE: 20210713 FORMER COMPANY: FORMER CONFORMED NAME: PROEQUITIES, INC. DATE OF NAME CHANGE: 20020129 MA-A 1 primary_doc.xml MA-A 0000752798 XXXXXXXX Harold Blaine Miller 205-268-5910 blaine.miller@concoursefinancial.com bo.hailey@concoursefinancial.com rory.hartley@concoursefinancial.com laura.miller@concoursefinancial.com 12-31-2023 Y CONCOURSE FINANCIAL GROUP SECURITIES, INC. 15708 Protective Securities 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.concoursefinancial.com HAROLD BLAINE MILLER

2801 U.S. Highway 280 South Birmingham AL 35223

800-288-3035 205-268-3622 blaine.miller@concoursefinancial.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 December AL 07-11-1984 N 566 2 2 1 0 1 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 7 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 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 Elizabeth Giltz Anderson Elizabeth Giltz Anderson Y N N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Harold Blaine Miller Harold Blaine Miller Y N N Add Investment Adviser Bobby Farrar Hailey Bobby Farrar Hailey Y N N Add Insurance company or agency Barbara Nelson Pugh Barbara Nelson Pugh Y Y 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 Rory Marshall Hartley Managing Director, Protective Securities 12-01-2004 NA Y 1464251 Harold Blaine Miller Chief Compliance Officer 12-01-2021 NA Y 4214267 Darren Cyril Guerrera Chief Financial Officer 04-01-2015 NA N 2541120 Elizabeth Giltz Anderson President/CEO 07-06-2020 NA Y 2209248 Aaron Christopher Seurkamp SVP & President, Retirement Division 06-29-2018 NA Y 4751862 James Carl Wagner Director 08-25-2020 NA Y 4261922 Bobby Farrar Hailey Chief Supervision Officer 02-16-2022 NA Y 5736735 Barbara Nelson Pugh Director 01-01-2021 NA Y 7498540 David A Perry Director 10-01-2022 NA N 7320685 Protective Life Corporation The Dai-Ichi Life International Holdings, LLC N foregin complete 01-01-2023 E Y Dai-Ichi Life International Holdings, LLC Dai-Ichi Life Holdings, Inc. N Foreign complete 02-01-2015 E Y Protective Life Corporation Y 95-2492236 Parent Company 08-01-1984 E Y Amend Rory Marshall Hartley Managing Director 12-01-2004 NA Y 1464251 Harold Blaine Miller Chief Compliance Officer 12-01-2021 NA Y 4214267 Darren Cyril Guerrera Chief Financial Officer 04-01-2015 NA N 2541120 Elizabeth Giltz Anderson President/CEO 07-06-2020 NA Y 2209248 Aaron Christopher Seurkamp SVP & President, Retirement Division 06-29-2018 NA Y 4751862 James Carl Wagner Director 08-25-2020 NA Y 4261922 Bobby Farrar Hailey Chief Supervision Officer 02-16-2022 NA Y 5736735 Barbara Nelson Pugh Director 01-01-2021 NA Y 7498540 David A Perry Director 10-01-2022 NA N 7320685 Protective Life Corporation The Dai-Ichi Life International Holdings, LLC N foregin complete 01-01-2023 E Y Dai-Ichi Life International Holdings, LLC Dai-Ichi Life Holdings, Inc. N Foreign complete 02-01-2015 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 2037399 Harold Blaine Miller Harold Blaine Miller Chief Compliance Officer 04-09-2024 4214267 N N N Y N Y N N Y N Y N Y N N N N Y Y N N