-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ib+zDjwr8fOeVJ/SZXB/43o3RbRmOCK+ls2lJSiC77czRtwBfj53oUuFTftTMBdh yjt8sQhlse3v97vE28Tshw== <SEC-DOCUMENT>0001085146-10-000887.txt : 20101105 <SEC-HEADER>0001085146-10-000887.hdr.sgml : 20101105 <ACCEPTANCE-DATETIME>20101105163222 ACCESSION NUMBER: 0001085146-10-000887 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101105 DATE AS OF CHANGE: 20101105 EFFECTIVENESS DATE: 20101105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: National Planning Corp CENTRAL INDEX KEY: 0001492262 IRS NUMBER: 383023534 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13971 FILM NUMBER: 101169172 BUSINESS ADDRESS: STREET 1: 401 WILSHIRE BLVD STREET 2: SUITE 1100 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 888-711-6720 MAIL ADDRESS: STREET 1: 401 WILSHIRE BLVD STREET 2: SUITE 1100 CITY: SANTA MONICA STATE: CA ZIP: 90401 </SEC-HEADER> <DOCUMENT> <TYPE>13F-HR <SEQUENCE>1 <FILENAME>npc3q10.txt <DESCRIPTION>NATIONAL PLANNING CORPORATION <TEXT> UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: National Planning Corporation Address: 401 Wilshire Boulevard, Suite 1100 Santa Monica, CA 90401 13F File Number: 028-13971 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Sean Haley Title: Chief Compliance Officer Phone: (310)-899-7813 Signature, Place, and Date of Signing: /s/ Sean Haley Santa Monica, CA November 05, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. <PAGE> FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 144 Form 13F Information Table Value Total: $178,538 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE <PAGE> <TABLE> <C> <C> FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBOTT LABS COM 002824100 252 4915 SH SOLE 0 0 4915 ABERDEEN ASIA PACIFIC INCOM COM 003009107 72 10922 SH SOLE 0 0 10922 ADVANCED MICRO DEVICES INC COM 007903107 116 16000 SH SOLE 0 0 16000 ALCOA INC COM 013817101 143 10737 SH SOLE 0 0 10737 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 300 36242 SH SOLE 0 0 36242 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 195 13235 SH SOLE 0 0 13235 ALPINE GLOBAL DYNAMIC DIVD F COM 02082E106 627 89679 SH SOLE 0 0 89679 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 846 149547 SH SOLE 0 0 149547 ANWORTH MORTGAGE ASSET CP COM 037347101 1133 159600 SH SOLE 0 0 159600 APPLE INC COM 037833100 659 2185 SH SOLE 0 0 2185 ARENA PHARMACEUTICALS INC COM 040047102 73 42600 SH SOLE 0 0 42600 BANK OF AMERICA CORPORATION COM 060505104 1191 104434 SH SOLE 0 0 104434 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 257 3236 SH SOLE 0 0 3236 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 438 61500 SH SOLE 0 0 61500 BLACKROCK INSD MUN INCOME TR COM 092479104 429 28500 SH SOLE 0 0 28500 BOEING CO COM 097023105 265 3746 SH SOLE 0 0 3746 BP PLC SPONSORED ADR 055622104 482 11795 SH SOLE 0 0 11795 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 555 5435 SH SOLE 0 0 5435 BRISTOL MYERS SQUIBB CO COM 110122108 239 8810 SH SOLE 0 0 8810 CALUMET SPECIALTY PRODS PTNR UT LTD PARTNER 131476103 211 9600 SH SOLE 0 0 9600 CAPSTEAD MTG CORP COM NO PAR 14067E506 372 32700 SH SOLE 0 0 32700 CATERPILLAR INC DEL COM 149123101 1016 12871 SH SOLE 0 0 12871 CENTRAL FD CDA LTD CL A 153501101 3125 176409 SH SOLE 0 0 176409 CENTURYLINK INC COM 156700106 4576 110570 SH SOLE 0 0 110570 CHESAPEAKE ENERGY CORP COM 165167107 282 12957 SH SOLE 0 0 12957 CHEVRON CORP NEW COM 166764100 2381 28885 SH SOLE 0 0 28885 CHICOS FAS INC COM 168615102 1229 124660 SH SOLE 0 0 124660 CHIMERA INVT CORP COM 16934Q109 64 15432 SH SOLE 0 0 15432 CITIGROUP INC COM 172967101 98 23564 SH SOLE 0 0 23564 COHEN & STEERS CLOSED END OP COM 19248P106 517 39500 SH SOLE 0 0 39500 CONOCOPHILLIPS COM 20825C104 1631 27521 SH SOLE 0 0 27521 CONSOLIDATED EDISON INC COM 209115104 586 11776 SH SOLE 0 0 11776 CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 2963 30130 SH SOLE 0 0 30130 CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 367 3623 SH SOLE 0 0 3623 DEERE & CO COM 244199105 287 3736 SH SOLE 0 0 3736 DENDREON CORP COM 24823Q107 480 12970 SH SOLE 0 0 12970 DIAMOND OFFSHORE DRILLING IN COM 25271C102 382 5773 SH SOLE 0 0 5773 DNP SELECT INCOME FD COM 23325P104 357 36000 SH SOLE 0 0 36000 DOMINION RES INC VA NEW COM 25746U109 261 6009 SH SOLE 0 0 6009 DU PONT E I DE NEMOURS & CO COM 263534109 213 4540 SH SOLE 0 0 4540 DUKE ENERGY CORP NEW COM 26441C105 568 31386 SH SOLE 0 0 31386 EATON VANCE TXMGD GL BUYWR O COM 27829C105 262 20910 SH SOLE 0 0 20910 EDISON INTL COM 281020107 277 7504 SH SOLE 0 0 7504 EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 272 8000 SH SOLE 0 0 8000 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 272 4410 SH SOLE 0 0 4410 ENDEAVOUR SILVER CORP COM 29258Y103 715 146258 SH SOLE 0 0 146258 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 626 12242 SH SOLE 0 0 12242 ENERPLUS RES FD UNIT TR G NEW 29274D604 462 16800 SH SOLE 0 0 16800 ENTERPRISE PRODS PARTNERS L COM 293792107 1246 29072 SH SOLE 0 0 29072 EXCEL MARITIME CARRIERS LTD COM V3267N107 759 132000 SH SOLE 0 0 132000 EXELON CORP COM 30161N101 409 10044 SH SOLE 0 0 10044 FEDEX CORP COM 31428X106 221 2469 SH SOLE 0 0 2469 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 2027 77748 SH SOLE 0 0 77748 FORD MTR CO CAP TR II PFD TR CV6.5% 345395206 231 4680 SH SOLE 0 0 4680 FORD MTR CO DEL COM PAR $0.01 345370860 183 13041 SH SOLE 0 0 13041 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1730 18365 SH SOLE 0 0 18365 FRONTIER COMMUNICATIONS CORP COM 35906A108 445 52900 SH SOLE 0 0 52900 FULTON FINL CORP PA COM 360271100 194 20824 SH SOLE 0 0 20824 GABELLI GLB GLD NAT RES & IN COM SHS BN INT 36244N109 479 26767 SH SOLE 0 0 26767 GABELLI UTIL TR COM 36240A101 69 10296 SH SOLE 0 0 10296 GENERAL ELECTRIC CO COM 369604103 2351 146441 SH SOLE 0 0 146441 GENERAL MLS INC COM 370334104 320 8368 SH SOLE 0 0 8368 GOLDCORP INC NEW COM 380956409 562 12790 SH SOLE 0 0 12790 GOLDMAN SACHS GROUP INC COM 38141G104 380 2357 SH SOLE 0 0 2357 GOOGLE INC CL A 38259P508 359 590 SH SOLE 0 0 590 GRAMERCY CAP CORP COM 384871109 294 132000 SH SOLE 0 0 132000 HATTERAS FINL CORP COM 41902R103 588 20040 SH SOLE 0 0 20040 HEALTHCARE SVCS GRP INC COM 421906108 424 17600 SH SOLE 0 0 17600 ING CLARION GLB RE EST INCM COM 44982G104 199 25607 SH SOLE 0 0 25607 INLAND REAL ESTATE CORP COM NEW 457461200 258 29200 SH SOLE 0 0 29200 INTEL CORP COM 458140100 735 36700 SH SOLE 0 0 36700 INTERNATIONAL BUSINESS MACHS COM 459200101 1965 13671 SH SOLE 0 0 13671 INVESCO MORTGAGE CAPITAL INC COM 46131B100 343 15754 SH SOLE 0 0 15754 INVESTORS REAL ESTATE TR SH BEN INT 461730103 325 36897 SH SOLE 0 0 36897 ISHARES COMEX GOLD TR ISHARES 464285105 255 19072 SH SOLE 0 0 19072 ISHARES INC MSCI CDA INDEX 464286509 245 8400 SH SOLE 0 0 8400 ISHARES INC MSCI S KOREA 464286772 240 4362 SH SOLE 0 0 4362 ISHARES INC MSCI MEX INVEST 464286822 251 4378 SH SOLE 0 0 4378 ISHARES TR DJ SEL DIV INX 464287168 1546 32169 SH SOLE 0 0 32169 ISHARES TR S&P 500 INDEX 464287200 361 3043 SH SOLE 0 0 3043 ISHARES TR BARCLY USAGG B 464287226 9272 85569 SH SOLE 0 0 85569 ISHARES TR MSCI EMERG MKT 464287234 2738 59373 SH SOLE 0 0 59373 ISHARES TR S&P500 GRW 464287309 2840 45718 SH SOLE 0 0 45718 ISHARES TR S&P LTN AM 40 464287390 252 4745 SH SOLE 0 0 4745 ISHARES TR S&P 500 VALUE 464287408 3006 53700 SH SOLE 0 0 53700 ISHARES TR BARCLYS 7-10 YR 464287440 1249 12662 SH SOLE 0 0 12662 ISHARES TR MSCI EAFE IDX 464287465 428 7467 SH SOLE 0 0 7467 ISHARES TR RUSSELL MCP GR 464287481 489 9479 SH SOLE 0 0 9479 ISHARES TR RUSSELL MIDCAP 464287499 636 6750 SH SOLE 0 0 6750 ISHARES TR S&P MIDCAP 400 464287507 880 10657 SH SOLE 0 0 10657 ISHARES TR COHEN&ST RLTY 464287564 978 15238 SH SOLE 0 0 15238 ISHARES TR RUSSELL1000VAL 464287598 586 9620 SH SOLE 0 0 9620 ISHARES TR S&P MC 400 GRW 464287606 2195 24024 SH SOLE 0 0 24024 ISHARES TR RUSSELL1000GRW 464287614 535 9914 SH SOLE 0 0 9914 ISHARES TR RUSSELL 1000 464287622 1125 17180 SH SOLE 0 0 17180 ISHARES TR RUSL 2000 VALU 464287630 590 9168 SH SOLE 0 0 9168 ISHARES TR RUSL 2000 GROW 464287648 1874 23906 SH SOLE 0 0 23906 ISHARES TR RUSSELL 2000 464287655 1727 24603 SH SOLE 0 0 24603 ISHARES TR RUSL 3000 VALU 464287663 346 4361 SH SOLE 0 0 4361 ISHARES TR RUSL 3000 GROW 464287671 433 9886 SH SOLE 0 0 9886 ISHARES TR RUSSELL 3000 464287689 845 12048 SH SOLE 0 0 12048 ISHARES TR S&P MIDCP VALU 464287705 1672 22831 SH SOLE 0 0 22831 ISHARES TR DJ US REAL EST 464287739 2648 48458 SH SOLE 0 0 48458 ISHARES TR DJ US ENERGY 464287796 313 9207 SH SOLE 0 0 9207 ISHARES TR S&P SMLCAP 600 464287804 777 12708 SH SOLE 0 0 12708 ISHARES TR CONS GOODS IDX 464287812 315 5125 SH SOLE 0 0 5125 ISHARES TR DJ US BAS MATL 464287838 437 6358 SH SOLE 0 0 6358 ISHARES TR S&P SMLCP VALU 464287879 1900 29416 SH SOLE 0 0 29416 ISHARES TR S&P SMLCP GROW 464287887 2168 33099 SH SOLE 0 0 33099 ISHARES TR LARGE VAL INDX 464288109 2463 43937 SH SOLE 0 0 43937 ISHARES TR S&P CITINT TBD 464288117 224 2044 SH SOLE 0 0 2044 ISHARES TR JPMORGAN USD 464288281 2799 24738 SH SOLE 0 0 24738 ISHARES TR HIGH YLD CORP 464288513 12533 137729 SH SOLE 0 0 137729 ISHARES TR BARCLYS GOVT CR 464288596 375 3375 SH SOLE 0 0 3375 ISHARES TR BARCLYS 1-3YR CR 464288646 7192 68257 SH SOLE 0 0 68257 ISHARES TR BARCLYS 3-7 YR 464288661 917 7721 SH SOLE 0 0 7721 ISHARES TR DJ OIL&GAS EXP 464288851 605 11253 SH SOLE 0 0 11253 ISHARES TR RSSL MCRCP IDX 464288869 391 8794 SH SOLE 0 0 8794 ISHARES TR MSCI GRW IDX 464288885 214 3642 SH SOLE 0 0 3642 ISHARES TR RUS200 VAL IDX 464289420 2159 81961 SH SOLE 0 0 81961 JOHNSON & JOHNSON COM 478160104 1496 23447 SH SOLE 0 0 23447 JPMORGAN CHASE & CO COM 46625H100 233 6161 SH SOLE 0 0 6161 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 7296 205390 SH SOLE 0 0 205390 KEEGAN RES INC COM 487275109 568 71703 SH SOLE 0 0 71703 KIMBER RES INC COM 49435N101 2669 2788970 SH SOLE 0 0 2788970 KINROSS GOLD CORP COM NO PAR 496902404 234 12960 SH SOLE 0 0 12960 KRAFT FOODS INC CL A 50075N104 261 8117 SH SOLE 0 0 8117 NUVEEN MULTI STRAT INC & GR COM 67073B106 698 81700 SH SOLE 0 0 81700 NUVEEN QUALITY PFD INCOME FD COM 67072C105 278 31976 SH SOLE 0 0 31976 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 2109 80303 SH SOLE 0 0 80303 POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 329 6860 SH SOLE 0 0 6860 POWERSHS DB MULTI SECT COMM DB SILVER FUND 73936B309 595 13700 SH SOLE 0 0 13700 POWERSHS DB MULTI SECT COMM DB OIL FUND 73936B507 279 11082 SH SOLE 0 0 11082 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 6515 58632 SH SOLE 0 0 58632 SPDR GOLD TRUST GOLD SHS 78463V107 3918 29408 SH SOLE 0 0 29408 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 8582 209998 SH SOLE 0 0 209998 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 255 4536 SH SOLE 0 0 4536 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 2505 28782 SH SOLE 0 0 28782 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 6429 77831 SH SOLE 0 0 77831 WISDOMTREE TRUST EQTY INC ETF 97717W208 217 5630 SH SOLE 0 0 5630 WISDOMTREE TRUST LARGECAP DIVID 97717W307 2043 46329 SH SOLE 0 0 46329 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 3879 67660 SH SOLE 0 0 67660 WISDOMTREE TRUST INTL SMCAP DIV 97717W760 395 8008 SH SOLE 0 0 8008 YAMANA GOLD INC COM 98462Y100 511 46288 SH SOLE 0 0 46288 </TABLE> </TEXT> </DOCUMENT> </SEC-DOCUMENT> -----END PRIVACY-ENHANCED MESSAGE-----