13F-HR filed by Carroll Financial Associates, Inc.
Carroll Financial Associates, Inc. filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-01-08, with 1,616 holding rows worth $1,503,084,000.
- Accession
- 0000909012-21-000002
- Filer
- CIK 1567784
- Filed
- 2021-01-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 1,616 entries on the cover page, a total value of $1,503,084,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,503,084,000 with VALUE read as thousands by filing date, 13F file number 028-15116. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 52 | $1,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 28 | $1,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 221 | $1,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 90 | $1,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 200 | $1,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 200 | $1,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 230 | $1,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 58 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 150 | $1,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab US REIT ETF | 808524847 | SHS | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOKIA CORP | 654902204 | SPONSORED ADR | 147 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GATX CORP COM | 361448103 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YELP INC CL A | 985817105 | Stock | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TXNM ENERGY INC COM | 69349H107 | Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PG&E CORP COM | 69331C108 | Stock | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWS CORP NEW CL A | 65249B109 | Stock | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUBBELL INC COM | 443510607 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW GOLD INC CDA | 644535106 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEANSPARK INC | 18452B209 | COM NEW | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAKTRONICS INC | 234264109 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRISTOW GROUP INC | 11040G103 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GARRETT MOTION INC | 366505105 | COM | 91 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPENLANE INC | 48238T109 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADIENT PLC | G0084W101 | ORD SHS | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVANSIX INC | 00773T101 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONDUENT INC | 206787103 | COM | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KONTOOR BRANDS INC | 50050N103 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TERADATA CORP DEL | 88076W103 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNDER ARMOUR INC | 904311107 | CL A | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIAVI SOLUTIONS INC | 925550105 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 38 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 98 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEELCASE INC-CLASS A | 858155203 | CL A | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mallinckrodt Plc | G5785G107 | SHS | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNILEVER N V | 904784709 | N Y SHS NEW | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 217 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUBIC CORP | 229669106 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| L BRANDS INC | 501797104 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TILRAY INC | 88688T100 | COM CL 2 | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZENTALIS PHARMACEUTICALS INC | 98943L107 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCUGEN INC | 67577C105 | COMMON STOCK | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEEKAY CORPORATION | Y8564W103 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Milestone Pharmaceuticals Inc | 59935V107 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 240 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 139 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NXG CUSHING MIDSTREAM ENERGY | 231631300 | COM NEW | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIEBOLD NXDF INC | 253651103 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY | 531229888 | COMMON STOCK | 38 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERITOR INC | 59001K100 | COMMON STOCK | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERITIV CORP | 923454102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRIL-QUIP INC | 262037104 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| DZS INC | 268211109 | COMMON STOCK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RITE AID CORP | 767754872 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YAMANA GOLD INC | 98462Y100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B185 | FUND | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHARLES + COLVARD LTD | 159765106 | COM | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW ENERGY SYS GROUP | 643847106 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A156 | LHA MKT ST ALP | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347G861 | ULTRAPRO SHT QQQ | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CELSION CORP | 15117N503 | COM PAR NEW | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVAN INC | 66988N106 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000909012-21-000002 | this filing | 2021-01-08 | acceptance time not in the bulk data set |