SII INVESTMENTS INC

HTTP://WWW.SIIONLINE.COM APPLETON, WI Investment Advisor How do I update this listing?

SII Investments is based out of Appleton. SII Investments is a registered investment advisory firm Whalewisdom has at least 34 13F filings The firm last filed a Form D notice of exempt offering of securities on 2018-01-19. The notice included securities offered of Other

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SII INVESTMENTS, INC.
5555 W GRANDE MARKET DRIVE
APPLETON WI    54913-8403
Country: United States

Business Phone: 800-426-5975
Fax: 920-954-2740
Professional Investment Advisor Data
SEC Registration as : No longer eligible to remain registered with SEC
Form of Organization: Corporation
Organized in: WI
Number of employees: 81
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: NO LONGER PROVDING INVESTMENT ADVISORY SERVICES
Amount of client funds and securities:
Total Number of Clients: 0
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.D (1),11.D (2),11.D (4),11.D (5),11.E (2),11.G
Data above was derived from SEC filings.

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2018-01-19 D/A INSURANCE Other 851,201 851,201 0
2017-01-20 D/A INSURANCE Other 60,626 60,626 0
2017-01-20 D INSURANCE Other INDEFINITE 0 INDEFINITE
2016-01-20 D/A INSURANCE Other 4,499,997 4,499,997 0
2016-01-20 D INSURANCE Other INDEFINITE 0 INDEFINITE
2015-01-26 D/A INSURANCE Other 1,455,408 1,455,408 0
2015-01-26 D INSURANCE Other INDEFINITE 0 INDEFINITE
2014-01-24 D INSURANCE Other INDEFINITE 0 INDEFINITE
2014-01-24 D/A INSURANCE Other 4,524,164 4,524,164 0
2013-01-18 D INSURANCE Other INDEFINITE 0 INDEFINITE
2013-01-18 D/A INSURANCE Other 514,284 514,284 0
2012-02-03 D/A INSURANCE Other 154,248 154,248 0
2012-01-20 D/A INSURANCE Other 205,631 205,631 0
2012-01-20 D INSURANCE Other INDEFINITE 0 INDEFINITE
2011-01-07 D INSURANCE Other INDEFINITE 0 INDEFINITE
2010-01-12 D INSURANCE Other INDEFINITE 0 INDEFINITE
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
ALISON R. REED subscription required
    DIRECTOR
BRADLEY O. HARRIS subscription required
    DIRECTOR
CLIFFORD J. JACK subscription required
    DIRECTOR
DANIEL WRIGHT subscription required
    EXECUTIVE OFFICER
DAVID LOASBY subscription required
    EXECUTIVE OFFICER
DAWN KALINOWSKI subscription required
    EXECUTIVE OFFICER
GERRY GUNDERSON subscription required
    EXECUTIVE OFFICER
GREGORY P. CICOTTE subscription required
    DIRECTOR
JAMES LIVINGSTON subscription required
    DIRECTOR
JAMES P MILLER subscription required
    EXECUTIVE OFFICER
MAURA COLLINS subscription required
    EXECUTIVE OFFICER
MICHAEL A. COSTELLO subscription required
    DIRECTOR
SCOTT E. ROMINE subscription required
    DIRECTOR
TDD KINART subscription required
    EXECUTIVE OFFICER DIRECTOR
THOMAS J MEYER subscription required
    EXECUTIVE OFFICER
TODD KINART subscription required
    EXECUTIVE OFFICER DIRECTOR

SII INVESTMENTS, INC.

ownership team - last updated 2018-06-13
Name Title Start Date Direct/Indirect % Ownership
COLLINS, MAURA KATHRYN SVP/CFO NATIONAL PLANNING HOLDINGS 03/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. CFO/FINOP direct 2004-03-01
SII INVESTMENTS, INC. CFO direct 2004-03-01
SII INVESTMENTS, INC. CFO & FINOP direct 2004-03-01
SII INVESTMENTS, INC. SVP/CFO NPH direct 2004-03-01
SII INVESTMENTS, INC. SVP/CFO NATIONAL PLANNING HOLDINGS direct 2004-03-01
SII INVESTMENTS, INC. SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. direct 2015-10-01
SII INVESTMENTS, INC. SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2015-10-01
IFC HOLDINGS, INC. CFO direct 2004-03-01
IFC HOLDINGS, INC. CFO, FINOP direct 2004-03-01
IFC HOLDINGS, INC. SVP/CFO-NATIONAL PLANNINGS HOLDINGS direct 2004-03-01
IFC HOLDINGS, INC. SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER direct 2015-10-01
IFC HOLDINGS, INC. SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS direct 2015-10-01
IFC HOLDINGS, INC. EVP/CFO-NATIONAL PLANNINGS HOLDINGS, direct 2015-10-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/CFO NATIONAL PLANNING HOLDINGS direct 2004-03-01
INVESTMENT CENTERS OF AMERICA, INC. CFO & FINOP direct 2004-03-01
INVESTMENT CENTERS OF AMERICA, INC. CFO/FINOP direct 2004-03-01
INVESTMENT CENTERS OF AMERICA, INC. CFO direct 2004-03-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/CFO NPH direct 2004-03-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. direct 2015-10-01
INVESTMENT CENTERS OF AMERICA, INC. SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2015-10-01
NATIONAL PLANNING CORPORATION FINOP/CFO direct 2004-03-01
NATIONAL PLANNING CORPORATION FINOP/CFO/SVP direct 2008-01-01
NATIONAL PLANNING CORPORATION CFO/SVP direct 2013-04-01
NATIONAL PLANNING CORPORATION SVP/ CFO NPH direct 2013-04-01
NATIONAL PLANNING CORPORATION SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2015-10-01
NATIONAL PLANNING CORPORATION EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER-NATIONAL PLANNING HOLDINGS, INC direct 2015-10-01
NATIONAL PLANNING CORPORATION SVP/CFO- NATIONAL PLANNING HOLDINGS direct 2015-10-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2012-12-01
CURIAN CAPITAL, LLC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-10-01
CURIAN CAPITAL, LLC SVP, CHIEF FINANCIAL OFFICER direct 2010-10-01
JACKSON INVESTMENT MANAGEMENT, LLC SVP, CHIEF FINANCIAL OFFICER direct 2010-10-01
MILLER, JAMES PETER NPH SVP OPERATIONS 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
INVESTMENT CENTERS OF AMERICA, INC. NPH SVP OPERATIONS direct 2007-02-01
SII INVESTMENTS, INC. NPH SVP OPERATIONS direct 2007-02-01
NATIONAL PLANNING CORPORATION NPH SVP, OPERATIONS direct 2007-02-01
IFC HOLDINGS, INC. NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST direct 2017-04-01
SII INVESTMENTS, INC. SR VP & COO direct 1999-01-01 2002-07-01
INVESTMENT CENTERS OF AMERICA, INC. COO/SROP/VP/CROP/MUNI/SECRETARY direct 2000-10-01 2002-07-01
NATIONAL PLANNING CORPORATION VICE PRESIDENT - OPERATIONS direct 1999-11-01 2003-03-03
SII INVESTMENTS, INC. SR VP & COO, SECRETARY direct 1999-01-01 2004-04-14
INVESTMENT CENTERS OF AMERICA, INC. COO/SROP/VP/CROP direct 2000-10-01 2004-04-14
INVESTMENT CENTERS OF AMERICA, INC. SVP, DIRECTOR direct 2004-06-01 2005-02-08
SII INVESTMENTS, INC. PRESIDENT/CEO & DIRECTOR direct 2004-06-01 2006-06-12
SII INVESTMENTS, INC. DIRECTOR direct 2007-02-01 2007-03-30
SII INVESTMENTS, INC. NPH SVP OPERATIONS/DIRECTOR direct 2007-02-01 2015-04-02
IFC HOLDINGS, INC. NPH SVP, OPERATIONS direct 2007-02-01 2017-03-31
NATIONAL PLANNING HOLDINGS, INC SHAREHOLDER 09/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
NATIONAL PLANNING CORPORATION SHAREHOLDER direct 1998-07-01
SII INVESTMENTS, INC. SHAREHOLDER direct 2000-09-01
IFC HOLDINGS, INC. SHAREHOLDER direct 2000-09-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER direct 2000-10-01 2004-04-14
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2000-10-01 2005-04-07
SII INVESTMENTS, INC. SHAREHOLDER indirect 2002-10-01 2005-04-07
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-07-01 2006-03-31
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 1998-07-01 2006-03-31
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 1998-07-01 2006-05-04
IFC HOLDINGS, INC. SHAREHOLDER indirect 1998-07-01 2007-03-29
SII INVESTMENTS, INC. SHAREHOLDER direct 1998-08-01 2007-03-30
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER direct 1998-08-01 2007-03-30
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER direct 2000-09-01 2009-09-30
IFC HOLDINGS, INC. OWNER direct 2000-09-01 2017-03-28
KALINOWSKI, DAWN MARIE SVP, COO 11/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. FVP OPERATIONS direct 2004-11-01
SII INVESTMENTS, INC. SVP, COO direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. FVP OPERATIONS direct 2004-11-01
INVESTMENT CENTERS OF AMERICA, INC. SVP/COO direct 2004-11-01
KINART, TODD MICHAEL SII PRESIDENT & CEO/DIRECTOR 02/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. PRESIDENT & CEO direct 2007-02-01
SII INVESTMENTS, INC. SII PRESIDENT & CEO/DIRECTOR direct 2007-02-01
GUNDERSON, GERRY A NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS 07/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
INVESTMENT CENTERS OF AMERICA, INC. NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS direct 2006-07-01
SII INVESTMENTS, INC. NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS direct 2006-07-01
IFC HOLDINGS, INC. NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS direct 2007-04-01
NATIONAL PLANNING CORPORATION NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS direct 2013-05-01
INVESTMENT CENTERS OF AMERICA, INC. VICE PRESIDENT direct 2000-10-01 2003-06-05
INVESTMENT CENTERS OF AMERICA, INC. VICE PRESIDENT/CCO direct 2000-10-01 2004-04-14
SII INVESTMENTS, INC. CHIEF COMPLIANCE OFFICER direct 2003-06-01 2004-06-16
INVESTMENT CENTERS OF AMERICA, INC. VICE PRESIDENT/CCO direct 2003-07-01 2004-07-07
SII INVESTMENTS, INC. INTERIM CCO direct 2005-01-01 2005-04-07
INVESTMENT CENTERS OF AMERICA, INC. INTERIM CCO direct 2005-01-01 2005-04-07
INVESTMENT CENTERS OF AMERICA, INC. SENIOR VICE PRESIDENT direct 2006-07-01 2007-03-30
IFC HOLDINGS, INC. NPH SVP, GENERAL COUNSEL direct 2007-04-01 2009-06-24
INVESTMENT CENTERS OF AMERICA, INC. NPH SVP GENERAL COUNSEL direct 2006-07-01 2013-04-01
SII INVESTMENTS, INC. NPH SVP GENERAL COUNSEL direct 2007-04-01 2013-04-01
IFC HOLDINGS, INC. GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS, NPH direct 2007-04-01 2013-11-20
NATIONAL PLANNING CORPORATION NPH SVP, GENERAL COUNSEL direct 2007-04-01 2014-06-23
INVESTMENT CENTERS OF AMERICA, INC. NPH SVP GENERAL COUNSEL/DIRECTOR direct 2013-05-01 2015-03-31
SII INVESTMENTS, INC. NPH SVP GENERAL COUNSEL/DIRECTOR direct 2013-05-01 2015-04-02
IFC HOLDINGS, INC. GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS, NPH, DIRECTOR-INVEST direct 2007-04-01 2015-04-10
NATIONAL PLANNING CORPORATION NPH SVP, GENERAL COUNSEL & REGULATORY AFFAIRS/DIRECTOR direct 2013-05-01 2015-04-22
NATIONAL PLANNING CORPORATION NPH SVP, GENERAL COUNSEL direct 2013-05-01 2016-09-24
INVESTMENT CENTERS OF AMERICA, INC. SVP GENERAL COUNSEL direct 2013-05-01 2016-09-27
SII INVESTMENTS, INC. SVP GENERAL COUNSEL direct 2015-05-01 2016-09-27
IFC HOLDINGS, INC. GENERAL COUNSEL & SVP NPH direct 2007-04-01 2016-10-18
IFC HOLDINGS, INC. SENIOR VICE PRESIDENT, GENERAL COUNSEL & ASSISTANT SECRETARY direct 2007-04-01 2016-12-08
SII INVESTMENTS, INC. SENIOR VICE PRESIDENT/GENERAL COUNSEL AND ASSISTANT SECRETARY direct 2015-05-01 2017-03-10
INVESTMENT CENTERS OF AMERICA, INC. SENIOR VICE PRESIDENT/GENERAL COUNSEL AND ASSISTANT SECRETARY direct 2013-05-01 2017-03-24
NATIONAL PLANNING CORPORATION SENIOR VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY direct 2013-05-01 2017-07-03
LAMBRECHTS, VANESSA MARIE RODRIGUEZ VP, FINOP & CONTROLLER 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
IFC HOLDINGS, INC. VP/FINOP direct 2013-04-01
IFC HOLDINGS, INC. FINOP direct 2013-04-01
IFC HOLDINGS, INC. VP, FINOP, CONTROLLER direct 2013-04-01
INVESTMENT CENTERS OF AMERICA, INC. VP, FINOP & CONTROLLER direct 2013-04-01
INVESTMENT CENTERS OF AMERICA, INC. FINOP direct 2013-04-01
NATIONAL PLANNING CORPORATION VP/CONTROLLER direct 2008-01-01
NATIONAL PLANNING CORPORATION VP/FINOP CONTROLLER direct 2013-04-01
NATIONAL PLANNING CORPORATION VP/FINOP direct 2013-04-01
SII INVESTMENTS, INC. VP, FINOP, CONTROLLER direct 2013-04-01
SII INVESTMENTS, INC. FINOP direct 2013-04-01
SII INVESTMENTS, INC. VP, FINOP & CONTROLLER direct 2013-04-01
COLEMAN, CAREN LESLIE VP, NPH PRODUCT AND SPONSOR RELATIONS 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. VP, NPH PRODUCT & SPONSOR RELATIONS direct 2010-01-01
SII INVESTMENTS, INC. VP, NPH PRODUCT AND SPONSOR RELATIONS direct 2010-01-01
SII INVESTMENTS, INC. VICE PRESIDENT direct 2010-01-01
IFC HOLDINGS, INC. VP, NPH PRODUCT & SPONSOR RELATIONS direct 2010-01-01
IFC HOLDINGS, INC. VICE PRESIDENT direct 2010-01-01
INVESTMENT CENTERS OF AMERICA, INC. VICE PRESIDENT direct 2010-01-01
INVESTMENT CENTERS OF AMERICA, INC. VP, NPH PRODUCT & SPONSOR RELATIONS direct 2010-01-01
INVESTMENT CENTERS OF AMERICA, INC. VP, NPH PRODUCT AND SPONSOR RELATIONS direct 2010-01-01
NATIONAL PLANNING CORPORATION VP, INSURANCE SERVICES direct 2010-01-01
NATIONAL PLANNING CORPORATION VP, NPH PRODUCT AND SPONSOR RELATIONS direct 2010-01-01
NATIONAL PLANNING CORPORATION VICE PRESIDENT direct 2010-01-01
DOWDEN, STEVEN HOWARD PRESIDENT AND CEO OF NPH 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. direct 2015-10-01
SII INVESTMENTS, INC. CHIEF OPERATING OFFICER, NPH direct 2015-10-01
IFC HOLDINGS, INC. PRESIDENT, CEO, DIRECTOR direct 2009-11-01
IFC HOLDINGS, INC. PRESIDENT, CEO direct 2009-11-01
IFC HOLDINGS, INC. PRESIDENT, CEO, DIRECTOR; EVP-NPH OPERATIONS direct 2015-09-01
IFC HOLDINGS, INC. PRESIDENT, CEO, DIRECTOR; CHIEF OPERATIONS OFFICER-NPH direct 2015-09-01
CUNA BROKERAGE SERVICES, INC. CHAIRMAN direct 2007-07-01
CUNA BROKERAGE SERVICES, INC. PRESIDENT direct 2009-01-01
CUNA BROKERAGE SERVICES, INC. PRESIDENT AND CHAIRMAN OF THE BOARD direct 2009-01-01
INVESTMENT CENTERS OF AMERICA, INC. NPH CHIEF OPERATING OFFICER direct 2015-10-01
INVESTMENT CENTERS OF AMERICA, INC. EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. direct 2015-10-01
NATIONAL PLANNING CORPORATION EXECUTIVE VICE PRESIDENT-NATIONAL PLANNING HOLDINGS INC direct 2015-10-01
NATIONAL PLANNING CORPORATION CHIEF OPERATION OFFICER- NPH direct 2015-10-01
HARRIS, BRADLEY OLAN DIRECTOR 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. DIRECTOR direct 2017-02-01
IFC HOLDINGS, INC. DIRECTOR direct 2017-02-01
INVESTMENT CENTERS OF AMERICA, INC. DIRECTOR direct 2017-02-01
NATIONAL PLANNING CORPORATION DIRECTOR direct 2017-02-01
PPM AMERICA, INC. DIRECTOR direct 2015-12-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC MANAGING BOARD MEMBER direct 2015-12-01
CURIAN CAPITAL, LLC MEMBER BOARD OF MANAGERS direct 2016-02-01
MCCALLOP, PATRICIA ANN NPH AND SII SVP & CHIEF COMPLIANCE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
FERRIS, BAKER WATTS INCORPORATED CO-CHIEF COMPLIANCE OFFICER(BD);CHIEF COMPLIANCE OFFICER-FBW ADVISORY direct 2006-03-01
FERRIS, BAKER WATTS INCORPORATED CO CHIEF COMPLIANCE OFFICER direct 2006-10-01
FERRIS, BAKER WATTS INCORPORATED CHIEF COMPLIANCE OFFICER direct 2006-12-01
NATIONAL PLANNING CORPORATION CHIEF COMPLIANCE OFFICER direct 2015-06-01
PRUDENTIAL (US HOLDCO1) SHAREHOLDER BROOKE (HOLDCO1), INC. 05/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2011-05-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2011-05-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2011-05-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON HOLDINGS LLC SHAREHOLDER NATIONAL PLANNING HOLDINGS, INC. 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 1987-07-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2006-03-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SOLE SHARE HOLDER OF COMON STOCK OF BROOKE HOLDINGS, INC. indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SOLE MEMBER direct 2008-06-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2004-06-16
SII INVESTMENTS, INC. SHAREHOLDER indirect 1998-02-01 2005-04-07
IFC HOLDINGS, INC. SHAREHOLDER indirect 1998-07-01 2008-01-24
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01 2010-03-31
JACKSON INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER OF COMMON STOCK OF BROOKE HOLDINGS INC indirect 2006-04-01 2011-03-21
BROOKE (HOLDCO1), INC. SHAREHOLDER JACKSON HOLDINGS LLC 09/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2006-04-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2015-12-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
NATIONAL PLANNING CORPORATION SHAREHOLDER indirect 2006-04-01
PPM AMERICA, INC. 99% PARTNER indirect 2006-03-01
PPM AMERICA, INC. SOLE SHAREHOLDER indirect 2011-08-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2006-03-01
JACKSON NATIONAL ASSET MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2011-06-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
CURIAN CAPITAL, LLC SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
JACKSON INVESTMENT MANAGEMENT, LLC SHAREHOLDER indirect 2006-04-01
PRUDENTIAL, PLC. SHAREHOLDER PRUDENTIAL (US HOLDCO 1) 08/01/2004 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SII INVESTMENTS, INC. SHAREHOLDER indirect 2004-08-01
SII INVESTMENTS, INC. SHAREHOLDER indirect 2004-08-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2004-08-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2004-08-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2015-12-01
IFC HOLDINGS, INC. SHAREHOLDER indirect 2015-12-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2004-08-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2004-08-01
INVESTMENT CENTERS OF AMERICA, INC. SHAREHOLDER indirect 2004-08-01
CURIAN CAPITAL, LLC SOLE SHAREHOLDER indirect 2004-08-01
CURIAN CAPITAL, LLC SOLE SHAREHOLDER indirect 2011-08-01
JACKSON INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2004-08-01
JACKSON INVESTMENT MANAGEMENT, LLC SOLE SHAREHOLDER indirect 2004-08-01

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