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Investment Adviser Firm Summary

NATIONAL PLANNING CORPORATION (CRD# 29604 / SEC# 8-44435, 801-41015)
Alternate Names: JACKSON NATIONAL FINANCIAL SERVICES, INC. , NATIONAL PLANNING CORPORATION , NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) , NPC OF AMERICA , NPC OF AMERICA (IN THE STATES OF NEW YORK AND FLORIDA ONLY)

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/12/1992

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 02/23/2001
Alaska 07/02/1998
Arizona 07/07/1998
Arkansas 07/09/1998
California 05/12/1998
Colorado 02/26/1999
Connecticut 07/22/1998
Delaware 06/11/2003
District of Columbia 08/13/1998
Florida 07/29/1998
Georgia 07/07/1998
Hawaii 07/07/1998
Idaho 07/06/1998
Illinois 07/14/1998
Indiana 01/24/2002
Iowa 02/16/1999
Kansas 07/28/1998
Kentucky 07/07/1998
Louisiana 10/11/2001
Maine 07/06/1998
Maryland 07/10/1998
Massachusetts 07/03/1998
Michigan 01/24/2002
Minnesota 06/24/1998
Mississippi 02/23/2001
Missouri 07/06/1998
Montana 07/13/1998
Nebraska 07/10/1998
Nevada 07/06/1998
New Hampshire 07/21/1998
New Jersey 07/02/1998
New Mexico 07/23/1998
New York 07/16/1998
North Carolina 02/23/2001
North Dakota 09/19/2001
Ohio 01/01/2000
Oklahoma 09/15/1998
Oregon 03/30/2004
Pennsylvania 01/18/2002
Puerto Rico 03/30/2012
Rhode Island 07/03/1998
South Carolina 07/10/1998
South Dakota 07/06/1998
Tennessee 07/09/1998
Texas 10/02/1992
Utah 07/06/1998
Vermont 07/07/1998
Virginia 07/07/1998
Washington 06/16/1998
West Virginia 07/07/1998
Wisconsin 08/21/1998
Wyoming 07/03/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser