R&C Bank Study 2020.Indd
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January 2018 Print
Serving More Than 26,000 Real Estate Professionals in the Northwest January 2018 LATEST PRESS RELEASE “Exceptionally low” inventory slows year-end home sales, contributes to steep price hikes around Greater Seattle region KIRKLAND, Washington (January 5, 2018) – The year 2017 may be in the books and for many members of Northwest Multiple Listing Service it was a memorable one with December’s activity being no exception. Brokers reported historic lows for inventory and year-over-year price gains in most areas. “I’ve never seen inventory this low in Kitsap County in 27 years,” remarked Northwest MLS director Frank Wilson, branch managing broker at John L. Scott Real Estate in Poulsbo. That county’s number of active listings last month plunged nearly 40 percent from year-ago levels. At month end, there were only 397 active listings in Kitsap County (down from the year-ago total of 659), a level Wilson described as “exceptionally low,” even accounting for seasonal factors. “A normal inventory in Kitsap County used to be 1,500 to 1,700, but we have not seen that number of active listings in several years,” he lamented. Northwest MLS data show the last time inventory topped 1,500 in that county was in July 2014 when there were 1,503 listings at month end. For the MLS area overall, inventory shrunk 19 percent, from 10,569 active listings at the end of 2016 to last month’s figure of 8,553. That’s the smallest selection for any month in the past decade. For the fourth time this year, monthly inventory dipped below the 10,000 mark, a level not reached at any other time during the 10-year comparison. -
LPL Financial LLC Form 13F-HR Filed 2021-08-13
SECURITIES AND EXCHANGE COMMISSION FORM 13F-HR Initial quarterly Form 13F holdings report filed by institutional managers Filing Date: 2021-08-13 | Period of Report: 2021-06-30 SEC Accession No. 0001403438-21-000004 (HTML Version on secdatabase.com) FILER LPL Financial LLC Mailing Address Business Address 1055 LPL WAY 4707 EXECUTIVE DRIVE CIK:1403438| IRS No.: 952834236 | State of Incorp.:CA | Fiscal Year End: 1231 FORT MILL SC 29715 SAN DIEGO CA 92121 Type: 13F-HR | Act: 34 | File No.: 028-12526 | Film No.: 211170492 704-733-3300 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE OMB Number: 3235-0006 COMMISSION Expires: July 31, 2015 Washington, D.C. 20549 Estimated average burden hours per response: 23.8 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06-30-2021 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: LPL Financial LLC Address: 1055 LPL WAY FORT MILL, SC 29715 Form 13F File Number: 028-12526 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: Dean Phillips Title: Vice President Phone: 980-264-8377 Signature, Place, and Date of Signing: Dean Phillips Fort Mill, SOUTH CAROLINA 08-12-2021 [Signature] [City, State] [Date] Report Type (Check only one.): ☒ 13F HOLDINGS REPORT. -
DTC Participant Alphabetical Listing June 2019.Xlsx
DTC PARTICPANT REPORT (Alphabetical Sort ) Month Ending - June 30, 2019 PARTICIPANT ACCOUNT NAME NUMBER ABN AMRO CLEARING CHICAGO LLC 0695 ABN AMRO SECURITIES (USA) LLC 0349 ABN AMRO SECURITIES (USA) LLC/A/C#2 7571 ABN AMRO SECURITIES (USA) LLC/REPO 7590 ABN AMRO SECURITIES (USA) LLC/ABN AMRO BANK NV REPO 7591 ALPINE SECURITIES CORPORATION 8072 AMALGAMATED BANK 2352 AMALGAMATED BANK OF CHICAGO 2567 AMHERST PIERPONT SECURITIES LLC 0413 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 0756 AMERICAN ENTERPRISE INVESTMENT SERVICES INC./CONDUIT 7260 APEX CLEARING CORPORATION 0158 APEX CLEARING CORPORATION/APEX CLEARING STOCK LOAN 8308 ARCHIPELAGO SECURITIES, L.L.C. 0436 ARCOLA SECURITIES, INC. 0166 ASCENSUS TRUST COMPANY 2563 ASSOCIATED BANK, N.A. 2257 ASSOCIATED BANK, N.A./ASSOCIATED TRUST COMPANY/IPA 1620 B. RILEY FBR, INC 9186 BANCA IMI SECURITIES CORP. 0136 BANK OF AMERICA, NATIONAL ASSOCIATION 2236 BANK OF AMERICA, NA/GWIM TRUST OPERATIONS 0955 BANK OF AMERICA/LASALLE BANK NA/IPA, DTC #1581 1581 BANK OF AMERICA NA/CLIENT ASSETS 2251 BANK OF CHINA, NEW YORK BRANCH 2555 BANK OF CHINA NEW YORK BRANCH/CLIENT CUSTODY 2656 BANK OF MONTREAL, CHICAGO BRANCH 2309 BANKERS' BANK 2557 BARCLAYS BANK PLC NEW YORK BRANCH 7263 BARCLAYS BANK PLC NEW YORK BRANCH/BARCLAYS BANK PLC-LNBR 8455 BARCLAYS CAPITAL INC. 5101 BARCLAYS CAPITAL INC./LE 0229 BB&T SECURITIES, LLC 0702 BBVA SECURITIES INC. 2786 BETHESDA SECURITIES, LLC 8860 # DTCC Confidential (Yellow) DTC PARTICPANT REPORT (Alphabetical Sort ) Month Ending - June 30, 2019 PARTICIPANT ACCOUNT NAME NUMBER BGC FINANCIAL, L.P. 0537 BGC FINANCIAL L.P./BGC BROKERS L.P. 5271 BLOOMBERG TRADEBOOK LLC 7001 BMO CAPITAL MARKETS CORP. -
Fintech Monthly Market Update | July 2021
Fintech Monthly Market Update JULY 2021 EDITION Leading Independent Advisory Firm Houlihan Lokey is the trusted advisor to more top decision-makers than any other independent global investment bank. Corporate Finance Financial Restructuring Financial and Valuation Advisory 2020 M&A Advisory Rankings 2020 Global Distressed Debt & Bankruptcy 2001 to 2020 Global M&A Fairness All U.S. Transactions Restructuring Rankings Advisory Rankings Advisor Deals Advisor Deals Advisor Deals 1,500+ 1 Houlihan Lokey 210 1 Houlihan Lokey 106 1 Houlihan Lokey 956 2 JP Morgan 876 Employees 2 Goldman Sachs & Co 172 2 PJT Partners Inc 63 3 JP Morgan 132 3 Lazard 50 3 Duff & Phelps 802 4 Evercore Partners 126 4 Rothschild & Co 46 4 Morgan Stanley 599 23 5 Morgan Stanley 123 5 Moelis & Co 39 5 BofA Securities Inc 542 Refinitiv (formerly known as Thomson Reuters). Announced Locations Source: Refinitiv (formerly known as Thomson Reuters) Source: Refinitiv (formerly known as Thomson Reuters) or completed transactions. No. 1 U.S. M&A Advisor No. 1 Global Restructuring Advisor No. 1 Global M&A Fairness Opinion Advisor Over the Past 20 Years ~25% Top 5 Global M&A Advisor 1,400+ Transactions Completed Valued Employee-Owned at More Than $3.0 Trillion Collectively 1,000+ Annual Valuation Engagements Leading Capital Markets Advisor >$6 Billion Market Cap North America Europe and Middle East Asia-Pacific Atlanta Miami Amsterdam Madrid Beijing Sydney >$1 Billion Boston Minneapolis Dubai Milan Hong Kong Tokyo Annual Revenue Chicago New York Frankfurt Paris Singapore Dallas -
Order Approving the Acquisition of a Bank Holding Company -- Banner
FRB Order No. 2015-23 September 3, 2015 FEDERAL RESERVE SYSTEM Banner Corporation Walla Walla, Washington Elements Merger Sub, LLC Walla Walla, Washington Order Approving the Acquisition of a Bank Holding Company Banner Corporation (“Banner”) and Elements Merger Sub, LLC (“Merger Sub”), a wholly owned subsidiary of Banner, both of Walla Walla, Washington (together, “Applicants”), have requested the Board’s approval under section 3 of the Bank Holding Company Act (“BHC Act”)1 to acquire Starbuck Bancshares, Inc. (“Starbuck”), Seattle, and thereby indirectly acquire its subsidiary, AmericanWest Bank, Spokane, both of Washington. Under the proposal, Starbuck would be merged into Merger Sub and AmericanWest Bank would be merged into Banner’s wholly owned subsidiary, Banner Bank, also of Walla Walla; Merger Sub and Banner Bank would be the surviving entities.2 Notice of the proposal, affording interested persons an opportunity to submit comments, has been published in the Federal Register (80 Federal Register 6517 (2015)).3 The time for submitting comments has expired, and the Board has considered the proposal and all comments received in light of the factors set forth in section 3 of the BHC Act. Banner, with consolidated assets of approximately $5.2 billion, is the 201st largest insured depository organization in the United States, controlling 1 12 U.S.C. § 1842. 2 The merger of AmericanWest Bank into Banner Bank is subject to the approval of the Federal Deposit Insurance Corporation (“FDIC”) under the Bank Merger Act. 12 U.S.C. § 1828(c). 3 12 CFR 262.3(b). - 2 - approximately $4.3 billion in consolidated deposits, which represent less than 1 percent of the total amount of deposits of insured depository institutions in the United States. -
Mclagan U.S. Commercial & Multifamily Real Estate Finance
McLagan U.S. Commercial & Multifamily Real Estate Finance Compensation Survey Our comprehensive survey report provides key data on professionals across the major functions/ areas within the Commercial Real Estate Finance industry. Our process enables us to collect data by function, specialization, and business or product group. Our survey collects data on an incumbent-level basis for professionals across major We’re here to functions and roles within the commercial and multifamily real estate finance industry. empower results Contact our team today to Survey elements include: Survey scoping factors include: learn more about McLagan’s survey products. • Base Salary • Long-term / Deferred • Total Cash • Geographic Region • Bonus % of Salary Awards • Total Compensation • Number of Employees Dave Rosenthal • Cash Bonus • Overtime 1.203.326.4349 • Commissions [email protected] For more information on We focus on key positions: McLagan, visit mclagan.aon.com • Asset Pricing & Appraisal • Loan Operations • Physical Asset Management • Commercial Mortgage Backed Securities • Loan Origination • Portfolio Management • Divisional Management • Loan Servicing • Product Specialist • Investor Reporting • Loan Workout • Syndications • Loan Closing • Mezzanine Finance • Underwriting • Loan Documentation & Processing • Multifamily & Affordable Housing Key dates Global benchmarking and advisory solutions customized to your business needs February - March Access to MBA HR Symposium: McLagan presents key human capital trends as part of the roundtable. This HR Symposium, hosted Survey launch / matching calls by the MBA, also serves as a forum to network with colleagues throughout the mortgage banking industry. Data collection is distributed Advisory Solutions: Our consulting approach is customized by project and includes functional benchmarking, pay and performance April analysis, incentive plan review and design, cost to market analysis, and custom market practice studies. -
Consenting Financial Institutions November 2019
Consenting Financial Institutions November 2019 ➢ 1st MidAmerica Credit Union ➢ Chelsea State Bank ➢ A2B2 LLC ➢ Chestnutz ➢ Academy Bank ➢ Cheviot Savings Bank ➢ Ally Bank ➢ Circle Bank ➢ Ally Capital ➢ Citibank ➢ Amalgamated Bank ➢ Citizens Bank* ➢ American Agricultural Bank ➢ Citizens Business Bank ➢ American River Bank* ➢ City National Bank ➢ American West Bank ➢ City of Hartford ➢ America's Christian Credit Union ➢ City of Providence Dept. of Planning and ➢ Ameriprise Financial Development ➢ Ameritas Investment Partners ➢ Colorado Structures, Inc.* ➢ ANB Bank ➢ Community First Credit Union ➢ Bank Hometown ➢ Community State Bank ➢ Bank of America* ➢ Connecticut Innovations ➢ Bank of Ann Arbor ➢ Corporation ➢ Bank of Kirksville ➢ CT Dept. of Economic & Community ➢ Bank of New York Mellon Development ➢ Bank of Sullivan ➢ CTBC Bank Corporation ➢ Bank of the West* ➢ CW Capital ➢ Bank Rhode Island ➢ DECD* ➢ Bankwell ➢ Deutsche Bank* ➢ Banner Bank ➢ Dime Bank ➢ BB&T* ➢ District of Columbia Housing ➢ BBCN Bank ➢ Eagle Bank ➢ Berkshire Bank* ➢ Exchange Bank* ➢ BMO Harris Bank ➢ Fairfield County Bank* ➢ Bremer Bank ➢ Farm Credit East ➢ Bridge Bank ➢ Farmington Bank* ➢ Brookline Bank ➢ Fifth Third Bank* ➢ Business Lenders LLC ➢ First Bank of Boulder* ➢ Byzantine Diocese of Stamford ➢ First Bank of Illinois ➢ CAB Associates ➢ First Bank of Lake Forest ➢ California Bank and Trust* ➢ First Citizens Bank & Trust ➢ California Plan of Church Finance, Inc ➢ First Community Bank* ➢ Calmwater Capital ➢ First County Bank* ➢ Capital Region Development -
Monthly Consolidation Report Summary 2021-03.Xlsx
Washington Public Deposit Protection Commission Monthly Consolidation Report Summary March 2021 Collateral Percentage Capital Uninsured Total to Uninsured Category Bank Name Deposits Deposits Deposits [1] [2] As of Q4-2020 1st Security Bank of Washington 11,415,334 14,313,177 74.36% Well Capitalized Baker-Boyer National Bank 16,582,817 19,030,812 100.12% Well Capitalized Bank of America, N.A. 1,141,909,485 1,163,535,073 64.35% Well Capitalized Bank of Eastern Oregon 3,153,973 5,415,628 126.82% Well Capitalized Bank of the Pacific 69,494,321 74,552,895 51.90% Well Capitalized Bank of the West 2,479,391 3,585,522 309.76% Well Capitalized Banner Bank 133,051,775 158,281,375 74.91% Well Capitalized Beneficial State Bank 0 0 0.00% Well Capitalized Cashmere Valley Bank 49,430,000 54,006,000 63.78% Well Capitalized Cathay Bank 74,750,000 75,000,000 50.85% Well Capitalized Coastal Community Bank 27,016,942 28,759,719 51.86% Well Capitalized Columbia State Bank 781,719,626 802,600,481 52.23% Well Capitalized Commencement Bank 12,310,480 18,629,564 65.92% Well Capitalized Community Bank 7,498,536 8,000,838 70.73% Well Capitalized Community First Bank 2,805,287 3,454,774 365.10% Well Capitalized East West Bank 80,683,522 81,933,522 142.53% Well Capitalized Farmers State Bank 1,902,407 2,153,208 97.74% Well Capitalized Farmington State Bank 0 271,689 0.00% Well Capitalized First Citizens Bank & Trust Company 13,421,076 14,303,767 50.83% Well Capitalized First Federal Savings & Loan Assn. -
About Banner Bank
About Banner Bank More than 130 years ago, we started with core values that will never go out of style: listen, learn and help people and businesses reach their goals. Our team focuses completely on you, providing the tailored solutions, expert guidance and local decision-making you need to succeed. We understand the uniqueness of the San Juan Islands and of your individual financial goals. You’ll still be served by the bankers you’ve come to know and trust, and they’ll now be backed by an expanded team of experts ready to assist you with products and services that fit your needs and lifestyle now and into the future. Beyond abundant options for banking services, we are committed to helping you bank when and how you want, whether it is in person, over the phone, or with a full suite of competitive digital banking solutions. Of equal importance is the community spirit upon which Banner Bank was founded as a small thrift in 1890. We understand our role in the economic ecosystem and we take that responsibility seriously. In addition to being a source of capital for personal banking clients and businesses of all sizes, we place a high importance on contributing to the communities we serve. Last year, we donated more than $2.5 million to nearly 1,400 community organizations, and our employees volunteered more than 25,000 hours of their time and talent to their favorite causes. We are honored to earn external national recognition for our products and services and overall client satisfaction: • Forbes Best Banks in the World 2020 • Money magazine’s Best Bank in the Pacific Region of U.S. -
Numerical.Pdf
DTC PARTICPANT REPORT (Numerical Sort ) Month Ending - July 31, 2021 NUMBER PARTICIPANT ACCOUNT NAME 0 SERIES 0005 GOLDMAN SACHS & CO. LLC 0010 BROWN BROTHERS HARRIMAN & CO. 0013 SANFORD C. BERNSTEIN & CO., LLC 0015 MORGAN STANLEY SMITH BARNEY LLC 0017 INTERACTIVE BROKERS LLC 0019 JEFFERIES LLC 0031 NATIXIS SECURITIES AMERICAS LLC 0032 DEUTSCHE BANK SECURITIES INC.- STOCK LOAN 0033 COMMERZ MARKETS LLC/FIXED INC. REPO & COMM. PAPER 0045 BMO CAPITAL MARKETS CORP. 0046 PHILLIP CAPITAL INC./STOCK LOAN 0050 MORGAN STANLEY & CO. LLC 0052 AXOS CLEARING LLC 0057 EDWARD D. JONES & CO. 0062 VANGUARD MARKETING CORPORATION 0063 VIRTU AMERICAS LLC/VIRTU FINANCIAL BD LLC 0065 ZIONS DIRECT, INC. 0067 INSTINET, LLC 0075 LPL FINANCIAL LLC 0076 MUFG SECURITIES AMERICAS INC. 0083 TRADEBOT SYSTEMS, INC. 0096 SCOTIA CAPITAL (USA) INC. 0099 VIRTU AMERICAS LLC/VIRTU ITG LLC 100 SERIES 0100 COWEN AND COMPANY LLC 0101 MORGAN STANLEY & CO LLC/SL CONDUIT 0103 WEDBUSH SECURITIES INC. 0109 BROWN BROTHERS HARRIMAN & CO./ETF 0114 MACQUARIE CAPITAL (USA) INC. 0124 INGALLS & SNYDER, LLC 0126 COMMERZ MARKETS LLC 0135 CREDIT SUISSE SECURITIES (USA) LLC/INVESTMENT ACCOUNT 0136 INTESA SANPAOLO IMI SECURITIES CORP. 0141 WELLS FARGO CLEARING SERVICES, LLC 0148 ICAP CORPORATES LLC 0158 APEX CLEARING CORPORATION 0161 BOFA SECURITIES, INC. 0163 NASDAQ BX, INC. 0164 CHARLES SCHWAB & CO., INC. 0166 ARCOLA SECURITIES, INC. 0180 NOMURA SECURITIES INTERNATIONAL, INC. 0181 GUGGENHEIM SECURITIES, LLC 0187 J.P. MORGAN SECURITIES LLC 0188 TD AMERITRADE CLEARING, INC. 0189 STATE STREET GLOBAL MARKETS, LLC 0197 CANTOR FITZGERALD & CO. / CANTOR CLEARING SERVICES 200 SERIES 0202 FHN FINANCIAL SECURITIES CORP. 0221 UBS FINANCIAL SERVICES INC. -
August 2019 Dear UMB Federal Funds “As Agent” Customer
August 2019 Dear UMB Federal Funds “As Agent” Customer: Attached is an extract of certain reported financial information taken from the most current Call Report data (dated as of March 31, 2019) of the banks that are currently on the “Approved List” provided to participants in our “As Agent” Federal Funds Program. As a participant in that Program, you have appointed us as your agent to place your funds with banks listed on the Approved List, all as provided for in, and governed by, the UMB “As Agent” Federal Funds Program Agreement that you executed with us at the time you started participating in our “As Agent” Program. By allocating your funds among all of the banks identified on the Approved List, you are able to help reduce your concentration of credit with any given individual bank on the list. We suggest that you present and review this information (together with the terms of your executed UMB “As Agent” Federal Funds Program Agreement) with your Board of Directors, and retain both for your permanent records and regulatory and audit review, since you and your Board of Directors have the ultimate responsibility to track and approve those banks to whom your federal funds are sold. We are also pleased to provide the following information for UMB Bank, n.a. as of June 30, 2019, which you should also retain related to the requirements of Regulation F. UMB Bank, n.a. Tier 1 Risk-based Capital Ratio 11.51 % Total Risk-based Capital Ratio 12.11 % Tier 1 Leverage Ratio 8.80 % * Full Reg F disclosure on second page I appreciate that you have elected to appoint us as your agent to facilitate your federal funds transactions under our “As Agent” program. -
Deposit Account Agreement.Personal 2021-CIT
DEPOSIT ACCOUNT AGREEMENT - TABLE OF CONTENTS Page PRIVACY ....................................................................................................................................................................................... 2 TERMS AND CONDITIONS OF YOUR ACCOUNT ..................................................................................................................... 4 Important Information About Procedures for Opening a New Account ..................................................................................... 4 Agreement ................................................................................................................................................................................. 4 Liability ...................................................................................................................................................................................... 4 Deposits .................................................................................................................................................................................... 4 Withdrawals ............................................................................................................................................................................... 5 Understanding and Avoiding Overdraft and Returned Item Fees ............................................................................................. 5 Ownership of Account and Beneficiary Designation ................................................................................................................